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- Tasks: Ensure compliance with regulations and support internal processes for efficiency.
- Company: Join a respected FCA regulated financial planning firm with 36 years of experience.
- Benefits: Collaborate with senior leaders and influence compliance standards in a supportive environment.
- Why this job: Be part of a values-driven team focused on nurturing relationships and client excellence.
- Qualifications: No specific qualifications mentioned; a proactive attitude is key.
- Other info: Opportunity to shape regulatory oversight and work closely with leadership.
The predicted salary is between 36000 - 60000 £ per year.
Our client is a long established, FCA regulated financial planning firm with over 36 years of experience delivering bespoke financial advice to both private and corporate clients. They provide expert, unbiased advice across pensions, investments, estate planning, inheritance tax and mortgages, drawing on a broad range of market leading solutions to meet their clients’ needs.
Due to continued business growth, they are now seeking a hands-on Compliance Officer to support the business in maintaining robust compliance and governance standards. The role offers the opportunity to work closely with the senior leadership team and influence how regulatory oversight is embedded across the business.
As a business, their approach is shaped by four guiding values: Nurturing Relationships, Navigating Futures, Client-Centred Excellence, and Thriving Together. These values underpin how they operate, how they serve their clients and how they collaborate as a team.
Overview of the role: The Compliance Officer will ensure the business operates in line with the compliance framework, while maintaining strong internal processes that support regulatory alignment and business efficiency. The postholder will work closely with the Financial Planning Director and Operations Director to help ensure policies, procedures, communications and adviser activities reflect expectations.
Compliance Officer employer: Click To Hired
Contact Detail:
Click To Hired Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer
✨Tip Number 1
Familiarise yourself with the FCA regulations and compliance frameworks relevant to financial planning. Understanding these will not only help you in interviews but also demonstrate your commitment to the role.
✨Tip Number 2
Network with professionals in the compliance field, especially those who work in financial services. Engaging with industry experts can provide insights into the role and may even lead to referrals.
✨Tip Number 3
Prepare to discuss how you would implement compliance strategies that align with the company's values. Showcasing your understanding of their guiding principles can set you apart from other candidates.
✨Tip Number 4
Research the company’s recent developments and challenges in compliance. Being informed about their current situation will allow you to ask insightful questions during the interview, demonstrating your genuine interest in the role.
We think you need these skills to ace Compliance Officer
Some tips for your application 🫡
Understand the Role: Read the job description thoroughly to grasp the responsibilities and expectations of a Compliance Officer. Highlight key skills and experiences that align with the role in your application.
Tailor Your CV: Customise your CV to reflect your experience in compliance and governance. Emphasise relevant qualifications, such as any certifications or training related to financial regulations, and showcase your ability to nurture relationships and navigate futures.
Craft a Compelling Cover Letter: Write a cover letter that not only outlines your qualifications but also demonstrates your understanding of the company's values. Explain how you embody 'Client-Centred Excellence' and how you can contribute to 'Thriving Together' within their team.
Proofread and Edit: Before submitting your application, carefully proofread all documents for spelling and grammatical errors. A polished application reflects attention to detail, which is crucial for a Compliance Officer role.
How to prepare for a job interview at Click To Hired
✨Understand the Compliance Landscape
Familiarise yourself with the latest FCA regulations and compliance frameworks relevant to financial planning. This knowledge will demonstrate your commitment to the role and your ability to navigate the regulatory environment effectively.
✨Emphasise Your Values
Align your personal values with those of the company, particularly their guiding principles: Nurturing Relationships, Navigating Futures, Client-Centred Excellence, and Thriving Together. Be prepared to discuss how you embody these values in your previous roles.
✨Showcase Your Problem-Solving Skills
Prepare examples of how you've identified compliance issues in the past and the steps you took to resolve them. Highlighting your proactive approach will show that you can contribute positively to maintaining robust compliance standards.
✨Engage with the Leadership Team
Since the role involves working closely with senior leadership, be ready to discuss how you would collaborate with them. Think about how you can influence compliance practices and support their strategic goals, showcasing your ability to work as part of a team.
