At a Glance
- Tasks: Support adviser oversight and compliance checks in a dynamic financial planning network.
- Company: Join a growing financial planning network with a supportive team culture.
- Benefits: Competitive salary, bonus potential, private medical insurance, and a non-contributory pension.
- Other info: Excellent opportunity for career growth in a structured environment.
- Why this job: Kickstart your career in compliance and make a real impact in financial services.
- Qualifications: Experience in compliance or adviser oversight and strong organisational skills.
The predicted salary is between 30000 - 35000 £ per year.
We’re working with a growing financial planning network who are looking to appoint an AR Oversight Associate (Onboarding Executive) to join their Adviser Oversight / Onboarding team. This is a key role supporting the firm’s compliance and governance framework, with responsibility for adviser and firm-level checks, SM&CR requirements, and ongoing regulatory due diligence. It’s well suited to someone with compliance administration experience in financial services who enjoys detail-driven work in a structured, regulated environment.
The Role
- Support adviser oversight, onboarding and certification activity, including:
- Firm-level responsibilities
- Carrying out due diligence checks for Appointed Representatives
- Managing DBS requests and adverse credit checks
- Gathering, reviewing and chasing required firm documentation
- Conducting sanctions and negative media checks on firms, directors and controllers
- Verifying directorships and regulatory information
- Issuing and following up regulatory reference requests
- Individual-level responsibilities
- Managing initial and annual certification checks for certified staff
- Maintaining accurate records across internal systems and the FCA Directory
- Tracking SPS renewals and liaising with advisers ahead of expiry
- Issuing and reviewing Fitness & Propriety questionnaires
- Checking qualifications, CPD and compliance evidence
- Supporting learning and training enrolment via LMS platforms
- Governance & policy
- Supporting the maintenance of compliance policies and procedures
- Ensuring individuals are appropriately certified for their regulated activities
About You
To be successful in this role, you’ll ideally have:
- Experience in a compliance or adviser oversight role within financial services
- A solid understanding of SM&CR and FCA regulatory requirements
- Strong organisational skills and excellent attention to detail
- The ability to manage multiple priorities and deadlines
- Confident written and verbal communication skills
- Experience using compliance tools such as Smartsearch, uCheck, Creditsafe or LMS systems (desirable)
What’s on Offer
- Salary of £30,000 - £35,000 (DOE)
- Bonus potential of up to 10%
- 10% non-contributory pension
- Private medical insurance
- Life assurance (8x salary)
- Supportive team environment with exposure to core compliance and governance activity
If you’re looking to build or continue a career in adviser oversight, compliance and regulatory governance, this is an excellent opportunity within a well-structured and growing organisation. Get in touch to apply or find out more.
StudySmarter Expert Advice🤫
We think this is how you could land Onboarding Executive in Bristol
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like CAP Resourcing LTD looking for candidates who are engaged and informed.
We think you need these skills to ace Onboarding Executive in Bristol
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at CAP Resourcing LTD. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at CAP Resourcing LTD
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with CAP Resourcing LTD’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
