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- Tasks: Join our team to ensure compliance and support IFAs in delivering great client outcomes.
- Company: We're a leading financial services company based in Horsham, dedicated to excellence.
- Benefits: Enjoy hybrid work options with a mix of remote flexibility and office visits.
- Why this job: Be part of a positive compliance culture and make a real impact in the financial sector.
- Qualifications: Must have IFA compliance experience and be Level 4 Dip qualified or close to it.
- Other info: This is a full-time, permanent role with opportunities for professional growth.
The predicted salary is between 36000 - 60000 £ per year.
Our client is a specialist financial services company based in Horsham, currently seeking an experienced IFA Compliance Officer/Supervisor to join their team.
This is a full-time, permanent role within their compliance department, supporting a team of IFAs.
This position offers a great opportunity to join a market-leading company involved in:
- Reviewing client files to ensure suitability, good consumer outcomes, and adherence to regulatory and company requirements, while identifying and requiring remedial actions from member firms where necessary.
- Identifying breaches or misconduct by firms and individuals, and reporting any training or compliance failures to the Compliance Manager.
- Providing feedback and preparing action plans for firms and individuals following audits, along with conducting risk evaluations of personnel and overall risk assessments of the firm based on audit findings.
- Assisting in embedding a positive compliance culture across the group.
Candidates must have compliance experience within an IFA firm and be Level 4 Dip qualified or nearing qualification.
There will be a minimum of quarterly visits to the Horsham office; otherwise, the role is remote.
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Compliance Officer - Financial Services Hybrid/Remote employer: Astral Recruitment
Contact Detail:
Astral Recruitment Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer - Financial Services Hybrid/Remote
✨Tip Number 1
Familiarise yourself with the latest regulations and compliance standards specific to financial services. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in a rapidly changing industry.
✨Tip Number 2
Network with professionals in the compliance field, especially those who work within IFA firms. Engaging in conversations can provide insights into the role and may even lead to referrals or recommendations.
✨Tip Number 3
Prepare to discuss specific examples from your past experience where you've successfully identified breaches or implemented compliance measures. Real-life scenarios can showcase your problem-solving skills and understanding of compliance culture.
✨Tip Number 4
Research the company’s values and compliance culture. Tailoring your conversation to align with their mission can set you apart and show that you're genuinely interested in contributing to their team.
We think you need these skills to ace Compliance Officer - Financial Services Hybrid/Remote
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your compliance experience specifically within an IFA firm. Emphasise any relevant qualifications, such as your Level 4 Dip, and detail your responsibilities in previous roles that align with the job description.
Craft a Strong Cover Letter: Write a cover letter that directly addresses the key responsibilities mentioned in the job description. Discuss your experience in reviewing client files, identifying breaches, and embedding a compliance culture, showcasing how you can add value to the team.
Showcase Relevant Skills: In your application, highlight skills that are crucial for the role, such as attention to detail, analytical thinking, and strong communication abilities. Provide examples of how you've successfully used these skills in past positions.
Proofread Your Application: Before submitting, thoroughly proofread your application for any spelling or grammatical errors. A polished application reflects your professionalism and attention to detail, which are essential traits for a Compliance Officer.
How to prepare for a job interview at Astral Recruitment
✨Know Your Compliance Regulations
Make sure you brush up on the latest compliance regulations relevant to financial services. Being able to discuss specific regulations and how they apply to the role will show your expertise and readiness for the position.
✨Demonstrate Your Experience
Prepare to share specific examples from your previous roles where you successfully identified breaches or implemented compliance measures. This will help illustrate your hands-on experience and problem-solving skills.
✨Showcase Your Communication Skills
As a Compliance Officer, you'll need to communicate effectively with various stakeholders. Be ready to discuss how you've provided feedback and action plans in the past, and how you can foster a positive compliance culture within the team.
✨Ask Insightful Questions
Prepare thoughtful questions about the company's compliance culture and challenges they face. This not only shows your interest in the role but also helps you gauge if the company aligns with your values and career goals.
