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- Tasks: Ensure compliance with regulations and maintain 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 client excellence and nurturing relationships.
- Qualifications: Ideal for those with a keen interest in compliance and regulatory frameworks.
- Other info: Opportunity to shape the future of compliance in a growing business.
The predicted salary is between 43200 - 72000 £ 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.
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 will 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: Take time to thoroughly read the job description for the Compliance Officer position. Understand the key responsibilities and how your skills align with their needs, especially in compliance and governance.
Tailor Your CV: Customise your CV to highlight relevant experience in compliance, financial planning, or regulatory oversight. Use specific examples that demonstrate your ability to maintain compliance frameworks and internal processes.
Craft a Compelling Cover Letter: Write a cover letter that reflects the company's values: Nurturing Relationships, Navigating Futures, Client-Centred Excellence, and Thriving Together. Explain how your personal values align with theirs and how you can contribute to their mission.
Proofread Your Application: Before submitting, carefully proofread your application materials. Check for spelling and grammatical errors, and ensure that all information is clear and professional. A polished application reflects your attention to detail, which is crucial for a Compliance Officer.
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. Being able to discuss current compliance issues and how they impact the business will show your expertise and readiness for the role.
✨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 provide examples of how you've embodied these values in your previous roles.
✨Showcase Your Collaborative Skills
Since the role involves working closely with senior leadership, highlight your experience in collaboration and teamwork. Share specific instances where you successfully worked with others to achieve compliance goals or improve processes.
✨Prepare Questions About Their Compliance Culture
Demonstrate your interest in the company by preparing insightful questions about their compliance culture and how they ensure regulatory alignment. This not only shows your enthusiasm but also helps you gauge if the company is the right fit for you.
