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- Tasks: Ensure compliance with FCA regulations and support the team in delivering top-notch financial services.
- Company: Join a respected financial advisory firm known for its supportive culture and client-first approach.
- Benefits: Flexible hours, competitive salary, company pension, and free onsite parking.
- Why this job: Be part of a dynamic team making a real difference in financial compliance.
- Qualifications: Experience in financial services compliance and strong communication skills required.
- Other info: Opportunity for permanent position after initial 6-month contract.
The predicted salary is between 24000 - 36000 £ per year.
This is an excellent opportunity to join a supportive growing company who pride themselves on offering a first-class service to their clients and their staff too! Our client is a highly respected, privately owned financial advisory firm who provide market-leading wealth solutions. They currently have a vacancy for a Compliance Officer to join their team based in Highnam, Gloucester on an initial 6-month contract with the chance to become permanent for the right candidate. This is a key role within the firm, working closely with Directors, advisers, paraplanners, and administrators to ensure the business continues to operate in line with FCA expectations and Consumer Duty requirements.
Key Responsibilities:
- Undertaking pre-and post-advice file checking, including the review of client files, suitability reports, and supporting documentation
- Supporting the firm’s Training & Competency (T&C) framework
- Working collaboratively with advisers, paraplanners, and administrators to ensure cases are processed efficiently, consistently, and compliantly
- Providing technical oversight and guidance to the paraplanning team in relation to report writing and suitability documentation
- Keeping up to date with FCA rules, guidance, and industry developments, and ensuring regulatory changes (including Consumer Duty) are embedded
- Assisting with regulatory and compliance requirements, including PI renewals, FCA/Gabriel returns, and other regulatory submissions as required
- Supporting ongoing improvements to compliance processes, documentation, and controls across the business
Candidate Attributes:
- Previous experience in a compliance role within financial services
- Friendly, organised and dependable
- Excellent administration capabilities
- Written and verbal communication skills
- Professional and discreet when handling sensitive information
- Strong IT skills, specifically in MS Office - Word, Excel and Outlook
Hours: 20 to 25 hours per week, flexible working pattern
Salary: Negotiable depending on experience + company pension + free onsite parking
Financial Services Compliance Officer - Part Time employer: Anderson Recruitment Ltd
Contact Detail:
Anderson Recruitment Ltd Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Financial Services Compliance Officer - Part Time
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial services sector and let them know you're on the hunt for a Compliance Officer role. You never know who might have the inside scoop on job openings or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by brushing up on FCA regulations and Consumer Duty requirements. Show that you’re not just familiar with the rules but also passionate about compliance. We want to see you shine when discussing how you can help the firm stay compliant!
✨Tip Number 3
Don’t underestimate the power of follow-ups! After an interview, drop a quick thank-you email to express your appreciation for the opportunity. It keeps you fresh in their minds and shows your enthusiasm for the role.
✨Tip Number 4
Apply through our website for the best chance at landing that Compliance Officer gig! We love seeing applications come directly from our site, and it helps us keep track of all the amazing candidates like you.
We think you need these skills to ace Financial Services Compliance Officer - Part Time
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Officer role. Highlight your previous experience in compliance within financial services and any relevant skills that match the job description. We want to see how you can bring value to our team!
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 relate to the key responsibilities listed in the job description, and show us your enthusiasm for joining our supportive company.
Showcase Your Communication Skills: Since excellent written communication is key for this role, make sure your application is clear and professional. Avoid jargon and keep it concise. We appreciate straightforwardness, so let your personality come through while maintaining professionalism!
Apply Through Our Website: We encourage you to apply directly through our website. It’s the easiest way for us to receive your application and ensures you’re considered for the role. Plus, it shows us you’re proactive and keen to join our team!
How to prepare for a job interview at Anderson Recruitment Ltd
✨Know Your Compliance Stuff
Make sure you brush up on FCA regulations and Consumer Duty requirements before the interview. Being able to discuss recent changes or challenges in compliance will show that you're not just familiar with the basics, but that you’re genuinely engaged with the industry.
✨Showcase Your Team Spirit
This role involves working closely with various teams, so be ready to share examples of how you've collaborated effectively in the past. Highlighting your ability to work with advisers, paraplanners, and administrators will demonstrate that you can fit right into their supportive environment.
✨Be Organised and Professional
Since the job requires excellent administration skills, come prepared with a well-organised portfolio of your previous work. This could include examples of compliance documentation or reports you've worked on. It’ll show that you take pride in your work and are detail-oriented.
✨Ask Smart Questions
Prepare thoughtful questions about the company’s compliance processes and how they handle regulatory changes. This not only shows your interest in the role but also gives you insight into their operations and culture, helping you determine if it’s the right fit for you.
