At a Glance
- Tasks: Lead compliance projects and ensure regulatory standards are met in a dynamic financial environment.
- Company: Respected Independent Financial Advisers firm based in Leek, Staffordshire.
- Benefits: Competitive salary, professional development, and a supportive team culture.
- Other info: Join a collaborative team with opportunities for growth and development.
- Why this job: Make a real impact by ensuring compliance and supporting financial advisers in their roles.
- Qualifications: Level 4 Diploma in Financial Advice and 2+ years in a technical financial planning role.
The predicted salary is between 36000 - 60000 € per year.
Bond recruitment is delighted to be recruiting for a Compliance Officer on behalf of our clients, a very well established and well respected firm of Independent Financial Advisers based in Leek, Staffordshire.
Compliance Responsibilities
- Lead and implement all regulatory change projects
- Complete all ongoing FCA reporting returns
- Maintain data on FCA directory
- Act as key liaison point for all FCA supervisory and thematic reviews and complete all associated action plans
- Completion of annual PII renewal, working closely with PII broker to secure compliant insurance cover
- Complete file reviews for Mortgage and Investment Advisers and provide pre-approvals of high-risk advice, as per the requirements of the T&C scheme, providing detailed feedback to advisers where required to aid any identified development need
- Produce quarterly and annual compliance MI reporting to the directors
- Manage the Compliance Monitoring plan
- Manage the Risk Register
- Draft key regulatory documents for the directors, including Capital Adequacy, Wind down plan, Business plan
- Produce, implement and monitor completion of all annual compliance staff training and new staff induction
- Management of regulated complaint process, including investigation and communications with clients and FOS
- Oversight and compliance approval of financial promotions
- Provide ongoing regulatory advice, including to directors and Investment Committee
- Key liaison point for external compliance support threesixty, including six monthly business risk assessments and completion of associated action plans
- Implementation and oversight of processes, including CIP, CRP, advice and annual review processes
- Implementation and oversight of all policies, including GDPR, Conflicts of Interest, Vulnerable Clients, product governance, etc
- Oversight and management of SM&CR requirements, including Statements of Responsibility
- T&C responsibilities
- Oversight and management of the T&C scheme and all relevant documentation
- Supervision of all regulated adviser roles, including oversight of trainee adviser development plans, annual adviser risk assessments, adviser knowledge assessments, CPD, KPIs, and completion of half yearly appraisals
- Completion and requesting of regulatory references
- Completion of annual fit and proper checks (DBS, credit reference checks, annual fit & proper declarations) and annual re-certification of all certification staff
Requirements
- Level 4 Diploma in Financial Advice
- 2 years or more in a technical financial planning role
Compliance Officer in Leek employer: Bond Recruitment Ltd
Join a well-established and respected firm of Independent Financial Advisers in Leek, Staffordshire, where you will thrive in a supportive work culture that prioritises compliance excellence and professional growth. With a commitment to employee development, you will have access to ongoing training opportunities and the chance to make a meaningful impact on regulatory practices while enjoying a collaborative environment that values your contributions.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Officer in Leek
✨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, it’s all about who you know!
✨Tip Number 2
Prepare for interviews by researching the company and its compliance practices. Be ready to discuss how your experience aligns with their needs. Show them you’re not just another candidate; you’re the one they’ve been looking for!
✨Tip Number 3
Don’t underestimate the power of follow-ups! After an interview, send a quick thank-you email. It shows your enthusiasm and keeps you fresh in their minds. Plus, it’s a great chance to reiterate why you’re the perfect fit.
✨Tip Number 4
Apply through our website for the best chance at landing that Compliance Officer role. We make it easy for you to showcase your skills and connect directly with employers. Let’s get you that job!
We think you need these skills to ace Compliance Officer in Leek
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Compliance Officer role. Highlight your experience in regulatory change projects and FCA reporting, as these are key aspects of the job. We want to see how your background aligns with what we're looking for!
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how your skills can benefit our team. Be sure to mention any specific experiences that relate to the responsibilities listed in the job description.
Showcase Relevant Qualifications:Don’t forget to mention your Level 4 Diploma in Financial Advice and any other relevant qualifications. We’re keen on seeing how your educational background supports your application for this Compliance Officer position.
Apply Through Our Website:We encourage you to apply through our website for a smoother process. It helps us keep track of applications and ensures you don’t miss out on any important updates. Plus, it’s super easy!
How to prepare for a job interview at Bond Recruitment Ltd
✨Know Your Compliance Stuff
Make sure you brush up on the latest FCA regulations and compliance standards. Being able to discuss specific regulatory changes and how they impact the firm will show that you're not just familiar with the basics, but that you’re genuinely engaged with the role.
✨Prepare Real-Life Examples
Think of situations where you've successfully managed compliance issues or led projects related to regulatory changes. Use the STAR method (Situation, Task, Action, Result) to structure your answers, as this will help you convey your experience clearly and effectively.
✨Understand the Company’s Compliance Culture
Research the firm’s approach to compliance and their recent projects or challenges. This will allow you to tailor your responses and demonstrate that you’re a good fit for their specific compliance environment.
✨Ask Insightful Questions
Prepare thoughtful questions about the company’s compliance strategies, ongoing projects, or how they handle regulatory changes. This shows your interest in the role and helps you gauge if the company aligns with your career goals.
