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- Tasks: Monitor regulations, review marketing materials, and support compliance culture.
- Company: Join a dynamic financial planning business focused on client outcomes.
- Benefits: Enjoy a secure application process and potential for career growth.
- Why this job: Be part of a compliant culture that values your input and fosters development.
- Qualifications: 2+ years in Compliance, knowledge of FCA regulations, strong communication skills.
- Other info: Your CV is safe with us; we prioritise your privacy.
The predicted salary is between 30000 - 50000 £ per year.
A financial planning business are looking to hire a Compliance Analyst to provide regulatory support and guidance to the business, fostering client outcome focus and a compliant culture.
Main Responsibilities:
- Monitoring and reporting on regulatory changes affecting the business
- Reviewing and approving marketing materials, websites and presentations to ensure compliance with regulations
- Assisting in the gathering of information in response to requests by the Regulator
- Creation of new and review of existing internal policies in line with current regulation
- Supporting the Thematic Review programme
- Administration and Certification processes in relation to SMCR
Job Requirements:
- Minimum of 2 years’ experience working in a Compliance role, conducting similar activities preferably in a Wealth Management/Financial Planning environment
- Good knowledge of FCA regulations
- Strong verbal, written and interpersonal skills including stakeholder management
Unless otherwise stated, candidates must have the right to work in the UK.
The CLARC Guarantee - we 100% guarantee that your CV will never be sent to a client without your prior expressed permission so all of your details are totally secure with us. Please note due to the volume of applications we sadly cannot reply to every application we receive and only successful applications will be contacted, however your details will be registered for consideration for more suitable opportunities as we get them.
Apply for this role through this job post or email an application to vacancies@clarcrecruitment.com
Compliance Analyst employer: CLARC Recruitment
Contact Detail:
CLARC Recruitment Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Analyst
✨Tip Number 1
Familiarise yourself with the latest FCA regulations and compliance frameworks. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in the field.
✨Tip Number 2
Network with professionals in the compliance sector, especially those working in wealth management or financial planning. Engaging with industry peers can provide insights and potentially lead to referrals.
✨Tip Number 3
Prepare to discuss specific examples of how you've handled compliance issues in the past. Being able to articulate your experience with real-world scenarios will set you apart from other candidates.
✨Tip Number 4
Showcase your interpersonal skills during the interview process. As a Compliance Analyst, you'll need to work closely with various stakeholders, so demonstrating your ability to communicate effectively is crucial.
We think you need these skills to ace Compliance Analyst
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities of a Compliance Analyst. Familiarise yourself with the key tasks such as monitoring regulatory changes and reviewing marketing materials for compliance.
Tailor Your CV: Highlight your relevant experience in compliance roles, especially within Wealth Management or Financial Planning. Emphasise your knowledge of FCA regulations and any specific achievements that demonstrate your skills.
Craft a Strong Cover Letter: Write a compelling cover letter that outlines your motivation for applying and how your background aligns with the job requirements. Mention your interpersonal skills and experience in stakeholder management.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any errors. Ensure that your documents are clear, concise, and free from typos to make a professional impression.
How to prepare for a job interview at CLARC Recruitment
✨Know Your Regulations
Make sure you have a solid understanding of FCA regulations and any recent changes. Being able to discuss these confidently will show your expertise and commitment to compliance.
✨Prepare for Scenario Questions
Expect questions that ask how you would handle specific compliance scenarios. Think of examples from your past experience where you successfully navigated regulatory challenges.
✨Showcase Your Communication Skills
As a Compliance Analyst, you'll need strong verbal and written skills. Be prepared to demonstrate how you've effectively communicated complex compliance issues to stakeholders in the past.
✨Familiarise Yourself with the Company
Research the financial planning business you're interviewing with. Understand their services and any recent news or changes in their compliance practices to tailor your responses accordingly.
