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- Tasks: Support regulatory compliance, manage breaches, and educate staff on client-focused culture.
- Company: Join a leading firm dedicated to ensuring compliance in wealth management.
- Benefits: Enjoy a hybrid work model and opportunities for professional growth.
- Why this job: Make a real impact by promoting compliance and protecting clients' interests.
- Qualifications: 2+ years in compliance, strong knowledge of FCA regulations, and excellent communication skills required.
- Other info: Ideal for those passionate about financial integrity and client outcomes.
The predicted salary is between 36000 - 60000 £ per year.
As part of our client's 2nd line Compliance function, the Compliance Officer will provide regulatory support and guidance to the business, ensuring a client-outcome focused and compliant culture. This is a key role within the compliance team, responsible for various tasks related to regulatory reporting, financial crime, breach management, data protection and more.
Responsibilities:
- Data Protection: Processing Data Subject Access Requests (DSARs) in compliance with relevant regulations.
- Breach Management: Logging and investigating breaches, including performing root cause analysis.
- Horizon Scanning: Monitoring and reporting on regulatory changes affecting the business.
- Financial Crime: Investigating referrals related to financial crime. Conducting Know Your Customer (KYC) due diligence and investigations.
- Financial Promotions: Reviewing and approving marketing materials, websites, and presentations to ensure compliance with regulations.
- Regulatory Reporting: Assisting in gathering information in response to requests from the regulator.
- Culture: Educating employees on compliance, emphasizing client outcomes, and promoting a compliant culture.
- Policies: Creating new and reviewing existing internal policies in line with current regulations.
- Management Information: Gathering data to demonstrate adherence to relevant regulations, including client outcomes.
- Thematic Reviews: Supporting the Thematic Review programme, depending on skills and experience.
- Senior Managers and Certification Regime: Administering and maintaining the certification processes.
- Complaints: Providing support to the Complaints SME. Logging complaints, preparing acknowledgment and update letters. Preparing business files prior to submission to the Financial Ombudsman Service.
Qualifications:
- A minimum of 2 years’ experience in a Compliance role, ideally within a Wealth Management/Financial Planning environment.
- Good knowledge of FCA regulations.
- Strong verbal, written, and interpersonal skills, with experience in stakeholder management.
- A strong focus on client outcomes.
- Pragmatic approach to compliance - understanding both the regulatory framework and its practical implementation.
- Strong investigative skills and the ability to quantify decision-making processes.
- High accuracy, attention to detail, and analytical thinking.
- Strong organizational and time management skills.
- Ability to explain complex regulations clearly to all levels of staff.
Preferred Skills:
- Experience in Pensions.
- Experience with thematic or targeted reviews.
- ICA or similar compliance qualifications.
- Level 4 Diploma in Financial Planning.
Hybrid opportunity (3 days in office following successful probation period).
Contact Detail:
Auxeris Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer
✨Tip Number 1
Familiarise yourself with the latest FCA regulations and compliance frameworks. This will not only help you understand the role better but also demonstrate your commitment to staying updated in a rapidly changing regulatory environment.
✨Tip Number 2
Network with professionals in the compliance field, especially those who have experience in Wealth Management or Financial Planning. Engaging in conversations can provide insights into the role and may even lead to referrals.
✨Tip Number 3
Prepare to discuss real-life scenarios where you've successfully managed compliance issues or improved processes. Being able to share specific examples will showcase your practical understanding of compliance.
✨Tip Number 4
Highlight your investigative skills by discussing any relevant experiences during interviews. Employers value candidates who can effectively analyse situations and make informed decisions, especially in compliance roles.
We think you need these skills to ace Compliance Officer
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance, particularly within Wealth Management or Financial Planning. Emphasise your knowledge of FCA regulations and any specific skills that align with the job description.
Craft a Compelling Cover Letter: In your cover letter, explain why you are passionate about compliance and how your previous experiences have prepared you for this role. Mention specific responsibilities from the job description, such as data protection and breach management, to show your understanding of the position.
Showcase Your Skills: Highlight your strong verbal and written communication skills, as well as your ability to manage stakeholders effectively. Provide examples of how you've successfully educated others on compliance matters or improved compliance culture in previous roles.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any spelling or grammatical errors. Ensure that all information is accurate and clearly presented, as attention to detail is crucial in compliance roles.
How to prepare for a job interview at Auxeris
✨Know Your Regulations
Make sure you have a solid understanding of FCA regulations and how they apply to the role. Brush up on key compliance concepts and be ready to discuss how you've navigated these in your previous roles.
✨Demonstrate Your Investigative Skills
Prepare examples that showcase your investigative skills, particularly in financial crime and breach management. Be ready to explain your thought process and how you approach problem-solving in compliance scenarios.
✨Showcase Your Communication Skills
Since the role involves educating employees and managing stakeholders, practice articulating complex regulatory information clearly. Think of examples where you've successfully communicated compliance matters to non-compliance staff.
✨Highlight Your Attention to Detail
Compliance work requires high accuracy and attention to detail. Prepare to discuss specific instances where your meticulous nature has helped prevent issues or improved processes in your previous roles.
