At a Glance
- Tasks: Review client files, assess compliance, and provide feedback to financial advisers.
- Company: Leading UK financial services consultancy with a hybrid working model.
- Benefits: Flexible work arrangements, competitive salary, and opportunities for professional growth.
- Other info: Opportunity to work on exciting projects and stay updated on industry trends.
- Why this job: Join a dynamic team and make a real impact in the financial advice sector.
- Qualifications: Experience in compliance and strong analytical skills required.
The predicted salary is between 36000 - 60000 € per year.
We are working with a leading UK-based financial services and business management consultancy to hire a Compliance Officer in Manchester. This role is offered on a hybrid working basis with 1 day per week in the office.
- Delivering a high-quality client file review service in strict accordance with established Service Level Agreements.
- Assessing financial advice files for suitability, ensuring they align with both regulatory expectations and specific business standards.
- Providing clear, constructive oral and written feedback to Independent Financial Advisers regarding file quality and training issues.
- Responding to complex compliance queries from clients or coordinating specialist responses from wider internal teams.
- Undertaking targeted project work, including thematic reviews and reporting on emerging compliance trends.
- Identifying and escalating specific regulatory risks or concerns that could impact a client’s ability to trade or their commercial obligations.
- Maintaining a meticulous CPD record and staying abreast of all legislative changes affecting the financial advice sector.
- Generating detailed reports and summaries of assessments for senior management to ensure firm-wide quality control.
If you are a proactive compliance specialist looking to apply your technical rigour within a market-leading consultancy, we invite you to apply.
Legal Risk and Compliance Officer in Manchester employer: AJ FOX COMPLIANCE
Join a dynamic and innovative financial services consultancy in Manchester, where we prioritise employee development and foster a collaborative work culture. With a hybrid working model, you will enjoy the flexibility of remote work while benefiting from comprehensive training and growth opportunities within a supportive team environment. Our commitment to excellence ensures that you will be part of a forward-thinking organisation dedicated to maintaining the highest standards of compliance and client service.
StudySmarter Expert Advice🤫
We think this is how you could land Legal Risk and Compliance Officer in Manchester
✨Tip Number 1
Network like a pro! Reach out to professionals in the financial services sector on LinkedIn or at industry events. We can’t stress enough how valuable personal connections can be in landing that Compliance Officer role.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of regulatory expectations and compliance trends. We recommend practising common interview questions with a friend or even in front of the mirror to boost your confidence.
✨Tip Number 3
Showcase your skills! During interviews, be ready to discuss specific examples of how you've assessed financial advice files or handled complex compliance queries. We want to see your technical rigour in action!
✨Tip Number 4
Don’t forget to follow up after your interview! A quick thank-you email reiterating your interest in the role can leave a lasting impression. We believe it shows your enthusiasm and professionalism.
We think you need these skills to ace Legal Risk and Compliance Officer in Manchester
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the role of Legal Risk and Compliance Officer. Highlight your experience in compliance, file reviews, and any relevant qualifications 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. Mention specific experiences that demonstrate your ability to assess financial advice files and provide constructive feedback.
Showcase Your Communication Skills:Since the role involves providing feedback and responding to queries, make sure your written application reflects your strong communication skills. Be clear, concise, and professional in your writing.
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 keep track of all submissions!
How to prepare for a job interview at AJ FOX COMPLIANCE
✨Know Your Compliance Stuff
Make sure you brush up on the latest regulations and compliance standards in the financial services sector. Being able to discuss recent changes and how they impact the role will show that you're proactive and knowledgeable.
✨Prepare for Scenario Questions
Expect to be asked about specific compliance scenarios or challenges. Think of examples from your past experience where you've successfully navigated complex compliance issues, and be ready to explain your thought process and outcomes.
✨Practice Clear Communication
Since you'll need to provide feedback to Independent Financial Advisers, practice articulating your thoughts clearly and constructively. You might want to do mock interviews with a friend to refine your delivery and ensure your points come across effectively.
✨Show Your Analytical Skills
Be prepared to discuss how you approach file reviews and identify regulatory risks. Highlight any tools or methodologies you use to assess compliance and how you report findings to senior management. This will demonstrate your analytical rigour and attention to detail.
