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- Tasks: Join our compliance team to ensure financial services meet regulatory standards.
- Company: We're a leading financial services firm based in Horsham, dedicated to excellence.
- Benefits: Enjoy hybrid work options and a supportive team environment.
- Why this job: Make a real impact by promoting a positive compliance culture in a reputable company.
- Qualifications: Must have IFA compliance experience and be Level 4 Dip qualified or nearing completion.
- Other info: Remote work with quarterly visits to the Horsham office.
The predicted salary is between 36000 - 60000 £ per year.
Our client is a specialist financial services company based in Horsham and they are currently looking for an experienced IFA Compliance Officer/Supervisor to join the team. We have a full-time permanent role linked to a business in Horsham working in their compliance department, supporting a team of IFAs.
This is a great opportunity to join a market-leading company dealing with:
- Reviewing client files to confirm suitability and good consumer outcomes and adherence to regulatory and Company requirements, and identifying and requiring remedial action from member firms where necessary.
- Identifying any breaches or misconduct by firms and individuals and reporting any training/compliance failures to the Compliance Manager.
- Providing feedback and preparing action plans for firms and individuals following any audit and completing risk evaluation of everyone within the firm and an overall risk assessment of the firm based upon the findings of any audit.
- Assisting in embedding a positive compliance culture across the Group.
You must have compliance experience from an IFA firm and be Level 4 Dip qualified or close to it. There will be a minimum of one visit per quarter to the Horsham office; otherwise, you will be remote.
Contact Detail:
Astral Recruitment Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer - Financial Services Hybrid/Remote
✨Tip Number 1
Familiarise yourself with the latest regulations and compliance standards in the financial services sector. This knowledge will not only help you during interviews but also demonstrate your commitment to staying updated in a rapidly changing environment.
✨Tip Number 2
Network with professionals in the compliance field, especially those who work in IFA firms. Attend industry events or join relevant online forums to connect with others and gain insights that could give you an edge in your application.
✨Tip Number 3
Prepare specific examples from your past experience where you've successfully identified breaches or improved compliance processes. Being able to discuss these instances will showcase your practical knowledge and problem-solving skills.
✨Tip Number 4
Research the company culture of the firm you're applying to. Understanding their values and how they approach compliance can help you tailor your conversation during interviews, making you a more appealing candidate.
We think you need these skills to ace Compliance Officer - Financial Services Hybrid/Remote
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your compliance experience specifically within the IFA sector. Include relevant qualifications, such as your Level 4 Dip, and any specific achievements that demonstrate your ability to ensure adherence to regulatory requirements.
Craft a Strong Cover Letter: In your cover letter, express your enthusiasm for the role and the company. Discuss your experience in reviewing client files and handling breaches or misconduct, and how you can contribute to embedding a positive compliance culture.
Showcase Relevant Skills: Emphasise skills that are crucial for a Compliance Officer, such as attention to detail, analytical thinking, and communication skills. Provide examples of how you've successfully implemented compliance measures or improved processes in previous roles.
Proofread Your Application: Before submitting your application, carefully proofread all documents for spelling and grammatical errors. A polished application reflects your professionalism and attention to detail, which are essential traits for a Compliance Officer.
How to prepare for a job interview at Astral Recruitment
✨Know Your Compliance Regulations
Make sure you brush up on the latest compliance regulations relevant to financial services. Being able to discuss specific regulations and how they apply to the role will show your expertise and preparedness.
✨Demonstrate Your Experience
Prepare examples from your previous roles where you've successfully identified breaches or misconduct. Highlighting your hands-on experience will help the interviewers see your capability in handling compliance issues.
✨Showcase Your Communication Skills
As a Compliance Officer, you'll need to communicate effectively with various stakeholders. Be ready to discuss how you've provided feedback and action plans in the past, and how you can foster a positive compliance culture.
✨Ask Insightful Questions
Prepare thoughtful questions about the company's compliance culture and challenges they face. This not only shows your interest in the role but also helps you gauge if the company aligns with your values and work style.
