At a Glance
- Tasks: Identify and mitigate key risks while ensuring compliance with regulations.
- Company: Join AFH Wealth Management, a leading independent financial advisory firm.
- Benefits: Enjoy competitive salary, hybrid working, and a range of benefits.
- Other info: Exciting career growth opportunities in a supportive environment.
- Why this job: Make a real impact in compliance and risk management within a dynamic team.
- Qualifications: Strong understanding of compliance and risk management principles.
The predicted salary is between 35000 - 45000 € per year.
Location: Bromsgrove, Worcestershire, United Kingdom
Salary: Competitive Salary and Benefits
AFH Wealth Management is proud to be one of the UK’s leading independent financial advisory and wealth management firms. We believe that our success starts with our people. If you are determined to succeed and eager to take on new challenges, you’ll find a variety of exciting career opportunities at AFH. This is a full-time, permanent opportunity, with hybrid working, and a competitive salary and range of benefits.
The purpose of the Compliance Management Executive is to identify key risk exposures for the Firm and to contribute towards successful mitigation techniques to minimise regulatory impact. To oversee key risk functions to aid the Firm in successful maintenance of its regulatory standing.
As our Compliance Management Executive, you will be responsible for:
- Ensuring that sufficient Professional Indemnity Insurance is effected for all Firms within the Group and to additionally ensure that where necessary, records of PI are maintained for companies directly associated with the Group.
- Ensuring that sufficient Directors and Officers Insurances are effected for all Directors/Officers within the Group and that this is monitored to accommodate structural change.
- Participating and overseeing where necessary the compliance due diligence for potential acquisition firms, ensuring that deadlines set by the Acquisitions Manager and the Group Head of Risk are adhered to.
- Co-ordinating and overseeing the regulatory reporting for all Firms within the Group, including, but not limited to, GABRIEL firm reporting, fees returns, professional standards returns and collating information for FCA thematic or ad-hoc requests.
- Maintaining responsibility for Firm authorisations and de-authorisations in connection with acquisition firms, appointed representatives and trading styles.
- Where necessary, co-ordinating and managing the variation of permissions process including, but not limited to, collation of business plan material, regulatory research and execution.
- Reviewing all Financial Promotions material with a view to providing efficient authorisation. Where authorisation cannot be granted, demonstrating strong communication/co-ordination skills to result in an efficient outcome.
- Reviewing and authorising changes to stationery templates in line with FCA regulation and to communicate authorised templates to all relevant stakeholders.
- Overseeing the implementation of regulatory policy and procedural change where this has an impact upon the regulatory position of the Firm.
- Implementing regulatory project actions under the direction of the SRMEs and Group Head of Risk.
- Acting as an escalation point in relation to regulatory queries that are received by Advice.
Compliance Management Executive employer: AFH Financial Group.
AFH Wealth Management is an exceptional employer located in Bromsgrove, Worcestershire, offering a dynamic work environment that prioritises employee growth and development. With a commitment to hybrid working, competitive salaries, and a comprehensive benefits package, we foster a culture of collaboration and innovation, empowering our team members to tackle challenges and excel in their careers. Join us to be part of a leading independent financial advisory firm where your contributions are valued and rewarded.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Management Executive
✨Tip Number 1
Network like a pro! Reach out to people in the industry, attend events, and connect on LinkedIn. We all know that sometimes it’s not just what you know, but who you know that can help you land that Compliance Management Executive role.
✨Tip Number 2
Prepare for interviews by researching AFH Wealth Management thoroughly. Understand their values, recent news, and how they approach compliance. We want you to show that you’re not just another candidate, but someone who genuinely cares about the firm’s mission.
✨Tip Number 3
Practice your answers to common interview questions, especially those related to risk management and compliance. We suggest doing mock interviews with friends or using online resources to boost your confidence and refine your responses.
✨Tip Number 4
Don’t forget to follow up after your interview! A simple thank-you email can go a long way in showing your enthusiasm for the role. We believe that this small gesture can set you apart from other candidates and keep you fresh in their minds.
We think you need these skills to ace Compliance Management Executive
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Compliance Management Executive role. Highlight your relevant experience in risk management and compliance, and don’t forget to showcase any specific achievements that align with the job description.
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you’re the perfect fit for this role at AFH Wealth Management. Be sure to mention your passion for compliance and how you can contribute to minimising regulatory impact.
Showcase Your Skills:In your application, make sure to highlight key skills mentioned in the job description, like your ability to oversee regulatory reporting and manage compliance due diligence. We want to see how you can bring value to our team!
Apply Through Our Website:We encourage you to apply through our website for a smoother application process. It’s the best way for us to receive your application and ensures you don’t miss out on any important updates from us!
How to prepare for a job interview at AFH Financial Group.
✨Know Your Compliance Stuff
Make sure you brush up on the latest regulations and compliance standards relevant to the financial advisory sector. Familiarise yourself with the FCA guidelines and be ready to discuss how they impact risk management.
✨Showcase Your Risk Management Skills
Prepare examples from your past experiences where you've successfully identified and mitigated risks. Be specific about the techniques you used and the outcomes achieved, as this will demonstrate your capability in the role.
✨Be Ready for Scenario Questions
Expect to face scenario-based questions that test your problem-solving skills. Think through potential compliance challenges the firm might face and how you would approach them, showing your analytical thinking and decision-making process.
✨Communicate Clearly and Confidently
As a Compliance Management Executive, strong communication is key. Practice articulating your thoughts clearly and confidently, especially when discussing complex regulatory topics. This will help you make a positive impression during the interview.
