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- Tasks: Conduct file and annual reviews to ensure compliance and advice suitability.
- Company: Join a leading Chartered Financial Planning Firm with a strong reputation.
- Benefits: Enjoy a collaborative work environment and opportunities for professional growth.
- Why this job: Be part of a team that values innovation and challenges the status quo.
- Qualifications: No specific qualifications required; just a passion for compliance and teamwork.
- Other info: This is a new role, offering a chance to shape processes and policies.
The predicted salary is between 28800 - 48000 £ per year.
New role with a leading Chartered Financial Planning Firm. The role will see you conducting file and annual reviews which are essential to ensure advice suitability and compliance with regulatory requirements and internal policies. You will actively collaborate with all areas of the business.
The successful applicant will be able to challenge existing policies and procedures as part of a commitment to deliver.
Compliance Associate employer: Ferguson Dean Limited
Contact Detail:
Ferguson Dean Limited Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Associate
✨Tip Number 1
Familiarise yourself with the latest regulatory requirements and compliance standards in the financial planning sector. This knowledge will not only help you in interviews but also demonstrate your commitment to the role.
✨Tip Number 2
Network with professionals in the compliance field, especially those working in financial planning firms. Engaging in conversations can provide insights into the company culture and expectations, which can be beneficial during your application process.
✨Tip Number 3
Prepare examples of how you've successfully challenged policies or improved processes in previous roles. This will showcase your proactive approach and ability to contribute positively to our team at StudySmarter.
✨Tip Number 4
Research our company values and recent initiatives. Being able to discuss how your personal values align with ours during the interview can set you apart from other candidates and show that you're a great fit for our team.
We think you need these skills to ace Compliance Associate
Some tips for your application 🫡
Understand the Role: Read the job description carefully to understand the responsibilities of a Compliance Associate. Familiarise yourself with compliance regulations and internal policies relevant to the financial planning sector.
Tailor Your CV: Highlight your experience in compliance, file reviews, and any relevant regulatory knowledge in your CV. Use specific examples that demonstrate your ability to challenge existing policies and collaborate effectively.
Craft a Compelling Cover Letter: Write a cover letter that showcases your passion for compliance and your understanding of the financial planning industry. Mention how your skills align with the company's commitment to delivering suitable advice and compliance.
Proofread Your Application: Before submitting, thoroughly proofread your application materials. Check for spelling and grammatical errors, and ensure that your documents are well-structured and professional.
How to prepare for a job interview at Ferguson Dean Limited
✨Understand Regulatory Requirements
Familiarise yourself with the key regulatory requirements relevant to the financial planning sector. Being able to discuss these during your interview will demonstrate your knowledge and commitment to compliance.
✨Showcase Your Analytical Skills
Prepare examples of how you've conducted file and annual reviews in the past. Highlight your ability to analyse data and ensure advice suitability, as this is crucial for the role.
✨Be Ready to Challenge Policies
Think about instances where you have successfully challenged existing policies or procedures. Be prepared to discuss your approach and the positive outcomes that resulted from your suggestions.
✨Emphasise Collaboration
Since the role involves working with various areas of the business, be ready to talk about your experience in collaborative environments. Share specific examples of how you’ve worked effectively with others to achieve compliance goals.
