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- Tasks: Ensure compliance with FCA regulations and support business growth through monitoring and reporting.
- Company: Established independent financial planning firm in the West Midlands.
- Benefits: Hybrid working, competitive salary, and opportunities for professional development.
- Why this job: Join a growing team and make a real impact in financial compliance.
- Qualifications: Minimum 2 years' experience in compliance within wealth management and Level 4 diploma (or working towards).
- Other info: Dynamic environment with strong career progression opportunities.
The predicted salary is between 36000 - 60000 £ per year.
An established and growing independent financial planning firm in the West Midlands is seeking a Compliance Officer to support the business during continued growth.
Responsibilities
- Monitor FCA regulatory requirements and advise senior management
- Compliance monitoring, risk assessments and reporting
- Oversight of client file reviews (high-risk in-house; low-risk outsourced)
- FCA reporting and maintenance of the FCA Directory
- Adviser Training & Competency, FIT assessments and CPD oversight
- Policy and procedure review
- Oversight of PII, cyber insurance and complaints handling
- Due diligence on providers and third parties
Skills & Experience
- Minimum 2 years’ experience in a Compliance Officer role within an IFA / wealth management environment
- Strong working knowledge of FCA regulations applicable to IFA firms
- Experience of compliance monitoring, file reviews and regulatory reporting
- Level 4 diploma in financial planning qualification (or working towards)
Compliance Officer in Birmingham employer: Broadgate
Contact Detail:
Broadgate Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer in Birmingham
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial planning and compliance sectors. Attend industry events or webinars to meet potential employers and get your name out there.
✨Tip Number 2
Prepare for interviews by brushing up on FCA regulations and compliance practices. We recommend doing mock interviews with friends or using online resources to get comfortable with common questions.
✨Tip Number 3
Showcase your skills! Create a portfolio that highlights your experience in compliance monitoring and risk assessments. This can really set you apart from other candidates when you apply through our website.
✨Tip Number 4
Follow up after interviews! A quick thank-you email can go a long way in keeping you top of mind for hiring managers. Plus, it shows your enthusiasm for the role!
We think you need these skills to ace Compliance Officer in Birmingham
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Officer role. Highlight your experience in compliance monitoring and FCA regulations, as these are key for us. Use specific examples that showcase your skills in financial planning and wealth management.
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Tell us why you’re passionate about compliance and how your background fits with our needs. Be sure to mention your experience with risk assessments and client file reviews, as these are crucial for the role.
Showcase Relevant Qualifications: If you have a Level 4 diploma in financial planning or are working towards it, make that clear! We want to see your commitment to professional development and how it aligns with our expectations for the Compliance Officer position.
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you don’t miss out on any important updates. Plus, it shows us you’re keen to join our team!
How to prepare for a job interview at Broadgate
✨Know Your FCA Regulations
Make sure you brush up on the latest FCA regulations relevant to IFA firms. Being able to discuss these confidently will show that you’re not just familiar with the rules, but that you can apply them in real-world scenarios.
✨Prepare for Compliance Scenarios
Think of specific compliance monitoring or risk assessment scenarios you've handled in the past. Be ready to share these examples during the interview, as they’ll demonstrate your practical experience and problem-solving skills.
✨Showcase Your Training & Competency Knowledge
Since the role involves oversight of adviser training and competency, be prepared to discuss how you’ve managed or contributed to training initiatives in previous roles. This will highlight your understanding of the importance of continuous professional development.
✨Ask Insightful Questions
Prepare a few thoughtful questions about the firm’s compliance culture or their approach to regulatory changes. This shows your genuine interest in the role and helps you assess if the company aligns with your values.
