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- Tasks: Join our compliance team to ensure regulatory adherence and support advisers.
- Company: We're a leading financial services firm based in Horsham, dedicated to excellence.
- Benefits: Enjoy a full-time role with potential for career growth and a supportive work environment.
- Why this job: Make a real impact by fostering a positive compliance culture and ensuring client satisfaction.
- Qualifications: Must have compliance experience from an IFA firm and ideally be Level 4 Dip qualified.
- Other info: This is a permanent position with opportunities for professional development.
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 Compliance Officer/Manager to join the team. We have a full-time permanent role in Horsham within this company working in their compliance department, supporting a team of Advisers.
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 a 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 ideally be Level 4 Dip qualified.
Compliance Officer - Financial Services employer: Astral Recruitment
Contact Detail:
Astral Recruitment Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer - Financial Services
✨Tip Number 1
Familiarise yourself with the specific compliance regulations and standards relevant to financial services. This knowledge 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 have experience in IFA firms. Engaging with them can provide insights into the company culture and expectations, which can be invaluable during your application process.
✨Tip Number 3
Prepare to discuss real-life scenarios where you've identified breaches or misconduct in previous roles. Having concrete examples ready will showcase your problem-solving skills and your ability to handle compliance challenges effectively.
✨Tip Number 4
Research the company’s current compliance practices and any recent news related to their operations. This will allow you to tailor your discussions and show that you're genuinely interested in contributing to their compliance culture.
We think you need these skills to ace Compliance Officer - Financial Services
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your compliance experience, particularly in financial services. Emphasise any relevant qualifications, such as the Level 4 Dip, and detail your previous roles that align with the responsibilities mentioned in the job description.
Craft a Strong Cover Letter: Write a cover letter that specifically addresses the key points from the job description. Mention your experience with reviewing client files, identifying breaches, and embedding a compliance culture. Show enthusiasm for the role and the company.
Highlight Relevant Skills: In your application, focus on 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 used these skills in past roles.
Proofread Your Application: Before submitting, carefully proofread your application for any spelling or grammatical errors. A polished application reflects your attention to detail, which is essential for a Compliance Officer role.
How to prepare for a job interview at Astral Recruitment
✨Know Your Compliance Regulations
Familiarise yourself with the latest compliance regulations relevant to financial services. Be prepared to discuss how these regulations impact the role and how you have applied them in your previous positions.
✨Demonstrate Your Experience
Highlight your experience in reviewing client files and identifying breaches or misconduct. Use specific examples from your past roles to illustrate your ability to handle compliance issues effectively.
✨Showcase Your Problem-Solving Skills
Be ready to discuss how you approach remedial actions and feedback after audits. Employers will appreciate candidates who can demonstrate a proactive approach to resolving compliance failures.
✨Emphasise Team Collaboration
Since the role involves supporting a team of Advisers, highlight your ability to work collaboratively. Share examples of how you've successfully embedded a positive compliance culture within a team or organisation.
