At a Glance
- Tasks: Conduct reviews, prepare reports, and ensure compliance with regulations while collaborating across teams.
- Company: Award-winning Chartered Financial Planning firm focused on making lives better.
- Benefits: Competitive salary, bonus, flexible working, and full support for professional development.
- Other info: Fun, collaborative culture with excellent growth opportunities and a focus on integrity and excellence.
- Why this job: Join a dynamic team to enhance client outcomes and drive positive change in financial planning.
- Qualifications: CII Level 4 Diploma in Financial Planning; strong regulatory knowledge and communication skills.
The predicted salary is between 55000 - 55000 £ per year.
At Equilibrium, we don't have a traditional compliance team. We have a Best Practice department, and the name isn't a gimmick. It reflects how we think: our job isn't to police the business, it's to make the advice we give better, the outcomes our clients get stronger, and the way we work simpler. We're an award-winning, independent Chartered Financial Planning firm managing over £1.3bn for our clients, with one purpose: making people's lives better. We're now looking for a Best Practice Associate to help us keep raising the bar.
What you'll do
- Conduct file and annual reviews to assess suitability of advice and adherence to regulatory requirements and internal policies.
- Prepare KPI and management information, run pre‑approval file checks, and carry out post‑sale thematic reviews.
- Work across the business, including Client Managers, Financial Planners, Investment, Marketing, and Finance, to embed Best Practice, Consumer Duty, and Treating Customers Fairly.
- Review financial promotions (website, articles, blogs) to ensure they stay clear, fair, and not misleading in a changing regulatory landscape.
- Handle complaints in line with regulatory guidelines and our standards.
- Develop and update policies, procedures, and regulatory documentation, and challenge them where they no longer serve good outcomes.
- Discuss financial strategies with Planners and Client Managers to ensure advice meets clients' objectives and circumstances.
What we're looking for
- CII Level 4 Diploma in Financial Planning as a minimum, working towards Chartered status. Chartered (Level 6 Advanced Diploma) is highly desirable.
- Strong working knowledge of the regulatory landscape, including Consumer Duty.
- Sharp attention to detail with the confidence to challenge constructively.
- A clear communicator who can land a message with any audience.
Why Equilibrium
- Circa £55,000, dependent on experience, plus bonus.
- Full support towards Chartered: study materials, exam fees, and paid study and exam leave covered.
- Flexible working framework with hybrid working and flexible hours in line with business needs.
- Generous annual leave, pension, death in service, income protection, and more.
- A culture rooted in fun, collaboration, learning, and growth. We're serious about what we do without taking ourselves too seriously.
- We live by four values: Integrity, Growth, Simplicity, Excellence. If they sound like yours, we should talk.
How to apply
Apply directly through LinkedIn, or for a confidential chat, reach out to Mark Penswick.
Compliance Specialist employer: Equilibrium Financial Planning
Equilibrium is an exceptional employer that prioritises a collaborative and growth-oriented work culture, making it an ideal place for a Compliance Specialist. With a commitment to employee development, including full support towards achieving Chartered status, and a flexible working framework, we ensure our team members thrive both personally and professionally. Our values of Integrity, Growth, Simplicity, and Excellence create an engaging environment where your contributions truly make a difference in enhancing client outcomes.
Contact Details:
Equilibrium Financial Planning Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Specialist
✨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 Equilibrium Financial Planning looking for candidates who are engaged and informed.
We think you need these skills to ace Compliance Specialist
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 Equilibrium Financial Planning. 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 Equilibrium Financial Planning
✨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 Equilibrium Financial Planning’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
