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- Tasks: Support regulatory compliance, manage data protection, and investigate financial crime.
- Company: Join a leading firm focused on client outcomes and compliance culture.
- Benefits: Enjoy hybrid work options and opportunities for professional growth.
- Why this job: Make a real impact in compliance while developing your skills in a supportive environment.
- Qualifications: 2+ years in compliance, strong knowledge of FCA regulations, and excellent communication skills.
- Other info: Ideal for those passionate about financial planning and regulatory frameworks.
The predicted salary is between 36000 - 60000 £ per year.
As part of our client's 2nd line Compliance function, the Compliance Officer will provide regulatory support and guidance to the business, ensuring a client-outcome focused and compliant culture. This is a key role within the compliance team, responsible for various tasks related to regulatory reporting, financial crime, breach management, data protection and more.
Responsibilities:
- Data Protection: Processing Data Subject Access Requests (DSARs) in compliance with relevant regulations.
- Breach Management: Logging and investigating breaches, including performing root cause analysis.
- Horizon Scanning: Monitoring and reporting on regulatory changes affecting the business.
- Financial Crime: Investigating referrals related to financial crime. Conducting Know Your Customer (KYC) due diligence and investigations.
- Financial Promotions: Reviewing and approving marketing materials, websites, and presentations to ensure compliance with regulations.
- Regulatory Reporting: Assisting in gathering information in response to requests from the regulator.
- Culture: Educating employees on compliance, emphasizing client outcomes, and promoting a compliant culture.
- Policies: Creating new and reviewing existing internal policies in line with current regulations.
- Management Information: Gathering data to demonstrate adherence to relevant regulations, including client outcomes.
- Thematic Reviews: Supporting the Thematic Review programme, depending on skills and experience.
- Senior Managers and Certification Regime: Administering and maintaining the certification processes.
- Complaints: Providing support to the Complaints SME. Logging complaints, preparing acknowledgment and update letters. Preparing business files prior to submission to the Financial Ombudsman Service.
Qualifications:
- A minimum of 2 years’ experience in a Compliance role, ideally within a Wealth Management/Financial Planning environment.
- Good knowledge of FCA regulations.
- Strong verbal, written, and interpersonal skills, with experience in stakeholder management.
- A strong focus on client outcomes.
- Pragmatic approach to compliance - understanding both the regulatory framework and its practical implementation.
- Strong investigative skills and the ability to quantify decision-making processes.
- High accuracy, attention to detail, and analytical thinking.
- Strong organizational and time management skills.
- Ability to explain complex regulations clearly to all levels of staff.
Preferred Skills:
- Experience in Pensions.
- Experience with thematic or targeted reviews.
- ICA or similar compliance qualifications.
- Level 4 Diploma in Financial Planning.
Hybrid opportunity (3 days in office following successful probation period).
Compliance Officer employer: Auxeris
Contact Detail:
Auxeris Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer
✨Tip Number 1
Familiarise yourself with the latest FCA regulations and compliance frameworks. This will not only help you understand the role better but also demonstrate your commitment to staying updated in a constantly evolving regulatory environment.
✨Tip Number 2
Network with professionals in the compliance field, especially those who have experience in wealth management or financial planning. Attend industry events or join relevant online forums to gain insights and potentially get referrals.
✨Tip Number 3
Prepare to discuss real-life scenarios where you've successfully managed compliance issues or improved processes. Having concrete examples ready will showcase your practical understanding of compliance and your problem-solving skills.
✨Tip Number 4
Research StudySmarter's culture and values, particularly around client outcomes and compliance. Tailoring your conversation to align with our mission can make a strong impression during interviews.
We think you need these skills to ace Compliance Officer
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance, particularly within Wealth Management or Financial Planning. Emphasise your knowledge of FCA regulations and any specific skills related to data protection, breach management, and financial crime.
Craft a Compelling Cover Letter: In your cover letter, explain why you are passionate about compliance and how your previous experiences align with the responsibilities outlined in the job description. Mention your strong focus on client outcomes and your pragmatic approach to compliance.
Showcase Your Skills: When detailing your skills, focus on your investigative abilities, attention to detail, and organisational skills. Provide examples of how you've successfully managed compliance tasks or projects in the past, especially those that required stakeholder management.
Proofread Your Application: Before submitting your application, carefully proofread all documents for spelling and grammatical errors. A polished application reflects your attention to detail, which is crucial for a Compliance Officer role.
How to prepare for a job interview at Auxeris
✨Know Your Regulations
Make sure you have a solid understanding of FCA regulations and how they apply to the role. Be prepared to discuss specific regulations and how you've implemented them in past roles.
✨Demonstrate Your Investigative Skills
Prepare examples of how you've handled investigations related to financial crime or breach management. Highlight your analytical thinking and decision-making processes during these situations.
✨Showcase Your Communication Skills
Since the role involves educating employees on compliance, practice explaining complex regulations in simple terms. This will demonstrate your ability to communicate effectively with all levels of staff.
✨Emphasise Client Outcomes
Be ready to discuss how your compliance efforts have positively impacted client outcomes in previous roles. This shows that you understand the importance of a client-focused approach in compliance.
