At a Glance
- Tasks: Support compliance activities and ensure adherence to regulations in a dynamic financial planning firm.
- Company: A well-established Independent Financial Planning firm with a focus on growth and development.
- Benefits: Career development opportunities, collaborative environment, and exposure to diverse compliance activities.
- Other info: Enthusiastic candidates with a positive attitude will thrive in this role.
- Why this job: Join a supportive team and make a real impact in the compliance landscape of financial services.
- Qualifications: Experience in financial planning, strong analytical skills, and a keen eye for detail.
The predicted salary is between 30000 - 40000 £ per year.
Our client, a well-established and growing Independent Financial Planning firm, is seeking a Compliance Administrator to join their team. This is an excellent opportunity for someone with experience within the Financial Planning industry who is looking to develop their career within compliance and regulation. The successful candidate will support the Compliance Manager and wider Compliance function in delivering a high-quality, efficient and compliant service across the business.
Key Responsibilities
- Support the Compliance Manager and wider team with day-to-day compliance activities
- Conduct risk assessments to identify and evaluate compliance risks
- Monitor adherence to regulatory requirements, internal policies and industry best practice
- Assist with quarterly adviser 1:1 meetings, including KPI reviews
- Support file checking activities and provide feedback to advisers
- Assist with adviser observations and competency assessments
- Support annual FIT assessments, competency testing and Training & Competence plans
- Ensure adherence to Conduct Rules and ongoing training requirements
- Attend and assist with Risk Committee meetings
- Assist in the completion of annual compliance and Money Laundering reports
- Maintain and update company policies and procedures to ensure they remain compliant and fit for purpose
- Support preparations for annual compliance audits and follow-up actions
- Assist with complaints handling and root cause analysis
- Support Consumer Duty attestation processes
Skills & Experience Required
- Previous experience within the Independent Financial Planning industry is essential
- Strong analytical and problem-solving skills
- Ability to interpret information quickly and accurately
- Excellent organisational skills with the ability to prioritise workloads effectively
- Strong attention to detail
- Ability to work collaboratively within a team environment
- Good understanding of systems, processes and regulatory frameworks
- Professional, dependable and adaptable approach
- High levels of integrity and personal accountability
- Enthusiastic with a positive attitude toward learning and development
What’s on Offer
- Opportunity to join a supportive and professional organisation
- Career development within a growing compliance function
- Exposure to a broad range of compliance activities within Financial Services
- Collaborative and team-focused working environment
Compliance Administrator - Financial Planning (Hybrid) in Birmingham employer: Brevere Group
Join a well-established Independent Financial Planning firm that prioritises employee growth and development within a collaborative and supportive environment. As a Compliance Administrator, you will have the opportunity to engage in diverse compliance activities while benefiting from a culture that values integrity, teamwork, and continuous learning. This hybrid role not only offers a chance to enhance your career in compliance but also provides a meaningful contribution to maintaining high standards in financial services.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Administrator - Financial Planning (Hybrid) in Birmingham
✨Tip Number 1
Network like a pro! Reach out to your connections in the Financial Planning industry and let them know you're on the lookout for a Compliance Administrator 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 compliance regulations and best practices. Show that you’re not just familiar with the basics, but that you can also discuss how you would handle specific compliance challenges. This will set you apart from other candidates!
✨Tip Number 3
Don’t forget to showcase your analytical skills! During interviews, be ready to share examples of how you've identified compliance risks in the past and what steps you took to mitigate them. This will demonstrate your proactive approach to compliance.
✨Tip Number 4
Apply through our website for the best chance at landing that Compliance Administrator role. We love seeing applications directly from motivated candidates like you, and it shows your enthusiasm for joining our team!
We think you need these skills to ace Compliance Administrator - Financial Planning (Hybrid) in Birmingham
Some tips for your application 🫡
Tailor Your CV:Make sure your CV reflects your experience in the Financial Planning industry. Highlight any compliance-related roles or tasks you've handled, as this will show us you're a great fit for the Compliance Administrator position.
Craft a Compelling Cover Letter:Use your cover letter to tell us why you're passionate about compliance and how your skills align with our needs. Be specific about your previous experiences and how they relate to the responsibilities listed in the job description.
Showcase Your Skills:We love seeing strong analytical and problem-solving skills! In your application, mention specific examples where you've successfully navigated compliance challenges or improved processes in your previous roles.
Apply Through Our Website:To make sure your application gets to us directly, apply through our website. This way, we can easily track your application and get back to you quicker. Plus, it shows us you're keen on joining our team!
How to prepare for a job interview at Brevere Group
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of compliance regulations and frameworks relevant to the financial planning industry. Familiarise yourself with key terms and recent changes in legislation, as this will show your commitment and understanding of the role.
✨Showcase Your Analytical Skills
Prepare examples from your past experience where you've successfully conducted risk assessments or handled compliance issues. Be ready to discuss how you approached these situations and what the outcomes were, as this will demonstrate your problem-solving abilities.
✨Be Organised and Prioritise
Since the role involves managing multiple tasks, practice articulating how you prioritise your workload. You might want to share specific tools or methods you use to stay organised, which will highlight your excellent organisational skills.
✨Emphasise Team Collaboration
This position requires working closely with others, so be prepared to discuss your experience in team environments. Share instances where you collaborated effectively, supported colleagues, or contributed to a positive team dynamic, showcasing your ability to work well within a team.
