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- Tasks: Ensure top-notch quality in financial advice and compliance monitoring.
- Company: Award-winning Independent Chartered Financial Planners with a collaborative culture.
- Benefits: Flexible working patterns, 26 days leave, medical cashback plan, and more perks.
- Why this job: Join a passionate team making a real impact in financial services.
- Qualifications: 5+ years in quality assurance or paraplanning; FCA regulated experience required.
- Other info: Opportunities for professional growth and development in a supportive environment.
The predicted salary is between 36000 - 60000 £ per year.
Craven Street Wealth are award winning Independent Chartered Financial Planners and Wealth Managers with offices across London and the South. The highest quality financial advice is provided to individuals, families, and businesses. This often involves working alongside other professionals to assist clients in making confident well-informed decisions to achieve their personal, financial business goals. We recognise like our clients, every colleague has unique skills and experience. Our 120 plus strong team in a variety of roles, work together remotely and from regional offices in Bedfordshire, Dorset, Kent, London, Oxfordshire and Sussex. Core principles based on developing a high level of expertise, using this to create tailored solutions and striving to innovate guides how we work to collectively deliver the very best client service. Our hardworking and ambitious team are proud of their accreditations earned and industry recognition, also holding a genuine interest in wider social and environmental issues which is reflected in always operating ethically and responsibly.
A highly motivated and detail-oriented Senior Compliance Monitoring Executive to join our growing team. They will provide essential support in first line checking to ensure reports and research meet the pre-defined quality standards and regulatory requirements demanded by the firm. This is a full-time, permanent role. However, if you require some flexibility, we are open to having a chat about different working patterns.
Key Responsibilities- To undertake advice quality assurance checks
- Ensure that the suitability reports and technical research is of the highest quality, delivered in an efficient and compliant manner whilst mitigating any risks to the business.
- Meet service level agreements in a timely manner as agreed.
- Proactively monitor trends, clearly document, record and co-ordinate to assess the quality of advice provided and to identify patterns and areas for improvement
- Provide feedback to financial planners and advisory teams in a clear and concise manner and explain any remedial work required.
- Generate regular reports on the findings providing insights into how the advice quality can be improved. This could include visual representations of trends.
- Ensuring that all advice given adheres to regulatory guidelines, industry standards, company policies, and supporting documentation is held on file.
- Assess the suitability of the advice produced, including complex recommendations on pension transfers and higher risk products such as VCT.
- Collaborate with the compliance manager & training and competence supervisors to ensure feedback are captured.
- Collaborate with various departments to ensure quality standards are met and continuous improvements are made. This might involve training and providing the appropriate feedback.
- Minimum 5 years’ experience in a quality assurance or paraplanning/report writing role essential.
- Previous experience working in a financial services firm regulated by the FCA.
- Regulated Diploma qualified & willingness to progress to advanced Diploma.
- Proficiency in Microsoft Office Suite
- Experience in Intelliflo preferred but training will be provided.
- Understanding of the Financial Planning process and products.
- Ability to work independently or in a team.
- Detailed and accurate.
- Organisational, prioritisation and time management skills.
- Excellent verbal and written communication skills.
Medical cashback plan, Death in service cover, 26 days leave – in addition to bank holidays and more voluntary benefits.
Senior Compliance Monitoring Executive in Canterbury employer: Craven Street Wealth
Contact Detail:
Craven Street Wealth Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Monitoring Executive in Canterbury
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial services sector, especially those who work in compliance. A friendly chat can lead to insider info about job openings that might not even be advertised yet.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of regulatory requirements and quality assurance processes. We want you to showcase your expertise and how it aligns with Craven Street Wealth's commitment to high-quality advice.
✨Tip Number 3
Don’t forget to follow up after interviews! A quick thank-you email reiterating your interest in the role and highlighting a key point from your conversation can keep you fresh in their minds.
✨Tip Number 4
Apply through our website for the best chance at landing that Senior Compliance Monitoring Executive role. It shows you're serious about joining our team and helps us keep track of your application!
We think you need these skills to ace Senior Compliance Monitoring Executive in Canterbury
Some tips for your application 🫡
Tailor Your CV: Make sure your CV reflects the skills and experience mentioned in the job description. Highlight your previous roles in quality assurance or paraplanning, and don’t forget to mention any relevant qualifications like the Regulated Diploma.
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you’re the perfect fit for the Senior Compliance Monitoring Executive role. Mention your passion for compliance and how your experience aligns with our core principles at Craven Street Wealth.
Showcase Your Attention to Detail: As a detail-oriented role, it’s crucial to demonstrate your attention to detail in your application. Make sure there are no typos or errors in your documents, and consider including examples of how you've ensured quality in your past work.
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 get all the updates directly from us. Plus, it shows you’re keen on joining our team!
How to prepare for a job interview at Craven Street Wealth
✨Know Your Compliance Stuff
Make sure you brush up on the latest compliance regulations and industry standards. Being able to discuss how these apply to the role will show that you're not just familiar with the basics, but that you’re genuinely engaged with the field.
✨Showcase Your Attention to Detail
As a Senior Compliance Monitoring Executive, attention to detail is key. Prepare examples from your past experience where your meticulous nature helped identify issues or improve processes. This will demonstrate your capability in quality assurance checks.
✨Prepare for Scenario Questions
Expect questions that ask how you would handle specific compliance scenarios. Think through potential challenges you might face in the role and prepare structured responses that highlight your problem-solving skills and ability to work under pressure.
✨Emphasise Collaboration Skills
This role involves working closely with various teams. Be ready to discuss how you've successfully collaborated in the past, especially in providing feedback or training. Highlighting your communication skills will show that you can effectively engage with stakeholders.
