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- Tasks: Conduct compliance checks and file reviews for IFA firms.
- Company: Join a national Wealth Management business with a remote work culture.
- Benefits: Enjoy a competitive salary, bonuses, and flexible working options.
- Why this job: Be part of a growing team ensuring top-notch regulatory standards.
- Qualifications: Must have a QCF Level 4 Diploma and compliance monitoring experience.
- Other info: Opportunity to work closely with the Head of Regulatory Compliance and Risk.
The predicted salary is between 32000 - 48000 £ per year.
Compliance Monitoring Officer Home Based £40,000 – £45,000 per annum plus bonus and benefits About the role: My client is a national Wealth Management business and they are looking for a Compliance Monitoring Officer to join their expanding team. The business operates a remote working model and is paying a salary c£40k to £45k.The main purpose of the role is to provide a pre and post file reviews service to the clients of the business. The file reviews will mainly be for medium to large IFA firms. Duties will include: Carry out compliance checks to ensure the businesses controls are working effectively. Work closely with the Head of Regulatory Compliance and Risk to help deliver and update the national compliance monitoring plan, especially when new risks arise. Create and conduct in-depth reviews, aswell as custom investigations if there is a breach of company procedures and FCA regulations. Prepare reports for the Head of Regulatory Compliance and Risk to review and approve. Deliver outstanding service while meeting the highest regulatory standards. Suitable candidate will have: A QCF Level 4 Diploma qualification Experience in a compliance monitoring/technical area of a support service within an IFA business. Detailed knowledge of regulatory framework required to ca…
Compliance Monitoring Officer employer: Reward Recruitment
Contact Detail:
Reward Recruitment Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Monitoring Officer
✨Tip Number 1
Familiarize yourself with the latest FCA regulations and compliance standards relevant to wealth management. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in the field.
✨Tip Number 2
Network with professionals in the compliance monitoring space, especially those who work within IFA firms. Engaging in conversations can provide insights into the role and may even lead to referrals.
✨Tip Number 3
Prepare to discuss specific examples of compliance checks or investigations you've conducted in the past. Highlighting your hands-on experience will set you apart from other candidates.
✨Tip Number 4
Showcase your ability to work independently and manage your time effectively, as this role is home-based. Providing examples of how you've successfully managed remote work in the past can strengthen your application.
We think you need these skills to ace Compliance Monitoring Officer
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance monitoring and any specific qualifications, such as the QCF Level 4 Diploma. Use keywords from the job description to demonstrate your fit for the role.
Craft a Strong Cover Letter: Write a cover letter that clearly outlines your experience with compliance checks and your understanding of regulatory frameworks. Mention how your skills align with the responsibilities of the Compliance Monitoring Officer position.
Showcase Relevant Experience: In your application, provide examples of past work where you conducted compliance reviews or worked closely with regulatory compliance teams. Highlight any specific achievements or improvements you contributed to in previous roles.
Proofread Your Application: Before submitting, carefully proofread your application materials for any spelling or grammatical errors. A polished application reflects your attention to detail, which is crucial in compliance roles.
How to prepare for a job interview at Reward Recruitment
✨Show Your Compliance Knowledge
Make sure to brush up on your understanding of the regulatory framework relevant to the role. Be prepared to discuss specific regulations and how they apply to compliance monitoring, especially in the context of IFA firms.
✨Demonstrate Analytical Skills
Since the role involves conducting in-depth reviews and custom investigations, be ready to showcase your analytical skills. Prepare examples from your past experience where you identified compliance issues and how you addressed them.
✨Highlight Your Team Collaboration
The position requires working closely with the Head of Regulatory Compliance and Risk. Share experiences that demonstrate your ability to collaborate effectively with others, especially in a remote working environment.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions that assess your problem-solving abilities in compliance situations. Think about potential breaches of company procedures or FCA regulations and how you would handle them.
