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- Tasks: Ensure compliance with FCA regulations and monitor adherence to ethical standards.
- Company: A growing Financial Planning practice near Hitchin with a focus on regulatory excellence.
- Benefits: Competitive salary, professional development, and a supportive team environment.
- Why this job: Join a dynamic team and make a real difference in regulatory compliance.
- Qualifications: Experience in compliance and a strong understanding of FCA regulations.
- Other info: Opportunity for career growth in a collaborative and proactive workplace.
The predicted salary is between 36000 - 60000 £ per year.
We are currently recruiting for a Financial Planning practice near Hitchin who are looking for an experienced Compliance Officer to join their growing team to maintain and enhance our regulatory standards.
Key Responsibilities:
- Stay updated on regulatory developments and ensure the firm meets its threshold conditions.
- Produce annual Compliance and Consumer Duty Assessment Reports for senior management.
- Adhere to the firm’s Compliance and Training and Competence procedures.
- Ensure the firm has adequate resources, systems, and controls to embed Consumer Duty principles and achieve positive outcomes.
- Implement a risk-based approach to compliance monitoring.
- Record findings from client file reviews and escalate significant issues to senior management.
- Maintain up-to-date KPIs and management information to support the firm’s Consumer Duty strategy.
- Ensure staff understand and comply with FCA requirements for selling practices.
- Monitor adviser performance through client file reviews and evaluate sales practices to ensure good outcomes.
- Ensure recruitment and HR policies meet regulatory requirements.
- Train new staff on Consumer Duty and Conduct Rules, and conduct FIT assessments for Senior Managers and Certified Persons.
- Supervise onboarding and training of new advisers.
They are seeking a team player with a strong understanding of FCA regulations and a proven track record in monitoring and enforcing compliance processes. You should be detail-oriented, proactive, and capable of ensuring the firm consistently meets high regulatory and ethical standards.
Compliance Officer in Hitchin employer: Blakemore Recruitment
Contact Detail:
Blakemore Recruitment Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer in Hitchin
✨Tip Number 1
Network like a pro! Reach out to your connections in the finance and compliance sectors. Attend industry events or webinars to meet potential employers and get your name out there. Remember, sometimes it’s not just what you know, but who you know!
✨Tip Number 2
Prepare for interviews by brushing up on FCA regulations and compliance best practices. We recommend doing mock interviews with friends or using online platforms to practice your responses. The more confident you are, the better you'll perform!
✨Tip Number 3
Showcase your skills! Create a portfolio that highlights your experience in compliance monitoring and training. Include examples of how you've successfully implemented compliance processes in the past. This will give you an edge over other candidates.
✨Tip Number 4
Don’t forget to apply through our website! We’ve got loads of resources to help you land that Compliance Officer role. Plus, applying directly shows your enthusiasm and commitment to joining the team. Let’s get you that job!
We think you need these skills to ace Compliance Officer in Hitchin
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Officer role. Highlight your experience with FCA regulations and compliance processes, as well as any relevant achievements that showcase your attention to detail and proactive approach.
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for the role. Mention specific experiences that relate to the key responsibilities listed in the job description, and show us your passion for maintaining high regulatory standards.
Showcase Your Team Player Skills: Since we're looking for a team player, make sure to include examples of how you've successfully collaborated with others in previous roles. This could be through training new staff or working on compliance projects that required teamwork.
Apply Through Our Website: We encourage you to apply through our website for a smoother application process. It helps us keep track of your application and ensures you don’t miss out on any important updates from us!
How to prepare for a job interview at Blakemore Recruitment
✨Know Your Regulations
Make sure you brush up on the latest FCA regulations and compliance standards. Being able to discuss recent changes or developments shows that you're proactive and genuinely interested in the role.
✨Showcase Your Experience
Prepare specific examples from your past roles where you've successfully implemented compliance measures or improved regulatory standards. This will help demonstrate your hands-on experience and problem-solving skills.
✨Understand the Firm's Culture
Research the financial planning practice and understand their values and approach to compliance. Tailoring your answers to align with their culture can set you apart as a candidate who truly fits the team.
✨Ask Insightful Questions
Prepare thoughtful questions about their compliance processes and how they measure success. This not only shows your interest but also gives you a chance to assess if the firm aligns with your career goals.
