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- Tasks: Help ensure our firm meets regulatory obligations by reviewing client balances and retentions.
- Company: Join a vibrant finance team dedicated to compliance and client satisfaction.
- Benefits: Enjoy hybrid work options, 26 days holiday, pension, training, and fun company events.
- Why this job: Be part of a modern workplace that values your growth and offers a supportive culture.
- Qualifications: No specific experience required; just bring your enthusiasm and willingness to learn!
- Other info: Work Monday to Friday, 9am - 5pm, with free parking and chill-out areas.
The predicted salary is between 36000 - 60000 £ per year.
The primary role of the Finance Compliance Executive is to assist the firm in complying with its regulatory obligation in relation to residual balances by assessing all retentions the firm holds. Whilst you will report to the Compliance Cashier Manager and form part of the wider Finance Team you will work closely with the COFA as appropriate who has ultimate responsibility for the firm’s client balances. This position can be offered as a hybrid posiiton once orientation and training has been completed. We work Monday to Friday, 9am – 5pm, we offer 26 days holiday plus Bank Holidays, Pension, Training and Development Plans and Company Events. We can offer a vibrant and modern working environment, with free parking and breakout areas. This role involves but is not limited to: Reviewing files identified by the COFA / Compliance Cashier Manager as requiring investigation to establish. i. What the residual balance or retention relates to ii. To whom it should be returned, or action required. iii. Recording the reasoning in the Client Retentions master file. iv. Referring to the Fee Earner with findings, advising course of action Referring files that cannot be resolved to the COFA / Compliance Cashier Manager together with analysis of findings of initial review. Carrying out follow up actions as identified. Classification of retentions as required. Liaison with Fee Earners as app…
Finance Compliance Executive employer: Taylor Rose
Contact Detail:
Taylor Rose Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Finance Compliance Executive
✨Tip Number 1
Familiarize yourself with the regulatory obligations related to residual balances. Understanding these regulations will not only help you in your role but also demonstrate your commitment and knowledge during the interview process.
✨Tip Number 2
Network with professionals in the finance compliance field. Engaging with others who have experience in similar roles can provide valuable insights and potentially lead to referrals or recommendations.
✨Tip Number 3
Prepare to discuss specific examples of how you've handled compliance issues in the past. Being able to articulate your problem-solving skills and attention to detail will set you apart from other candidates.
✨Tip Number 4
Show enthusiasm for the hybrid working model. Highlighting your adaptability and willingness to embrace a flexible work environment can make you a more attractive candidate for this position.
We think you need these skills to ace Finance Compliance Executive
Some tips for your application 🫡
Understand the Role: Make sure you fully understand the responsibilities of a Finance Compliance Executive. Familiarize yourself with terms like 'residual balances' and 'client retentions' to demonstrate your knowledge in your application.
Tailor Your CV: Highlight relevant experience in compliance, finance, or similar roles. Use specific examples that showcase your ability to assess and manage client balances effectively.
Craft a Strong Cover Letter: In your cover letter, express your enthusiasm for the role and the company. Mention how your skills align with the job requirements and your understanding of the importance of compliance in finance.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter. Ensure there are no spelling or grammatical errors, as attention to detail is crucial in compliance roles.
How to prepare for a job interview at Taylor Rose
✨Understand Regulatory Compliance
Make sure you have a solid understanding of regulatory compliance, especially in relation to financial practices. Be prepared to discuss how you would approach assessing residual balances and the importance of compliance in maintaining client trust.
✨Show Your Analytical Skills
Highlight your analytical skills during the interview. Be ready to provide examples of how you've previously investigated financial discrepancies or handled complex data. This will demonstrate your ability to review files and classify retentions effectively.
✨Communicate Clearly with Stakeholders
Since this role involves liaising with Fee Earners and the COFA, emphasize your communication skills. Prepare to discuss how you would convey findings and recommendations clearly and concisely to different stakeholders.
✨Familiarize Yourself with the Company Culture
Research the company culture and values before the interview. Understanding their vibrant working environment and commitment to training and development can help you align your answers with what they value in an employee.
