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- Tasks: Join our team to ensure compliance and enhance client satisfaction through meticulous reviews and policy updates.
- Company: Be part of a premier regional Wealth Management Firm dedicated to Best Practices and Fair Treatment.
- Benefits: Enjoy a collaborative work environment with opportunities for professional growth and development.
- Why this job: Make a real impact by ensuring financial advice is clear and compliant while working with passionate professionals.
- Qualifications: Must have CII Level 4 Diploma; Level 6 Advanced Diploma preferred.
- Other info: Engage in diverse projects and tasks that keep your role dynamic and exciting.
A premier regional Wealth Management Firm is seeking a Compliance Associate to enhance their team.
Apply promptly! A high volume of applicants is expected for the role as detailed below, do not wait to send your CV.
– Perform file and annual reviews to confirm the suitability of advice and compliance with regulatory standards and internal guidelines.
– Work collaboratively across departments to nurture a culture of Best Practice, Consumer Duty, and Fair Treatment of Customers.
– Assess and refine current policies and procedures to ensure positive outcomes and boost efficiency.
– Ensure that financial promotions are clear, fair, accurate, and not misleading to clients and the public. This includes consistently reviewing existing communications like our website, articles, and blogs to ensure compliance in a dynamic environment.
– Engage in complaint management in accordance with regulatory guidelines and standards.
– Develop, review, and update policies, procedures, and regulatory documentation to maintain industry compliance.
– Partner with Financial Planners and Client Managers to determine the best financial strategies that align with clients\’ objectives and needs.
– Conduct meticulous file reviews using company systems, technology, and wrap platforms to guarantee precision, compliance, and efficiency.
– Oversee data integrity, ensuring all data is entered and maintained to high standards and within agreed timelines.
– Participate in pertinent projects and fulfill ad hoc tasks as needed.
Qualifications:
– Required: Chartered Insurance Institute (CII) Level 4 Diploma in Regulated Financial Planning.
– Ideally: Chartered Insurance Institute CII Level 6 Advanced Diploma in Financial Planning or a comparable qualification
Compliance Associate employer: Ferguson Dean
Contact Detail:
Ferguson Dean Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Associate
✨Tip Number 1
Familiarize yourself with the latest regulatory standards and internal guidelines relevant to wealth management. This knowledge will not only help you in interviews but also demonstrate your commitment to compliance.
✨Tip Number 2
Network with professionals in the compliance field, especially those working in wealth management. Engaging in conversations can provide insights into the company culture and expectations, which can be beneficial during your application process.
✨Tip Number 3
Stay updated on industry trends and best practices related to consumer duty and fair treatment of customers. Being able to discuss these topics intelligently can set you apart from other candidates.
✨Tip Number 4
Prepare to discuss specific examples of how you've contributed to policy development or compliance improvements in previous roles. Concrete examples will showcase your experience and problem-solving skills effectively.
We think you need these skills to ace Compliance Associate
Some tips for your application 🫡
Understand the Role: Take the time to thoroughly read the job description for the Compliance Associate position. Understand the key responsibilities and qualifications required, such as the importance of compliance with regulatory standards and internal guidelines.
Highlight Relevant Experience: In your application, emphasize any previous experience you have in compliance, financial planning, or related fields. Be specific about how your background aligns with the responsibilities listed, such as conducting file reviews or developing policies.
Showcase Your Qualifications: Make sure to clearly state your qualifications, especially the Chartered Insurance Institute (CII) Level 4 Diploma in Regulated Financial Planning. If you have additional certifications, like the Level 6 Advanced Diploma, be sure to mention those as well.
Tailor Your Cover Letter: Craft a personalized cover letter that reflects your understanding of the firm's values, such as Best Practice and Fair Treatment of Customers. Use specific examples from your past experiences to demonstrate how you can contribute to their team.
How to prepare for a job interview at Ferguson Dean
✨Understand Regulatory Standards
Make sure you have a solid grasp of the regulatory standards relevant to the role. Be prepared to discuss how you would ensure compliance and what steps you would take to maintain these standards in your work.
✨Showcase Collaborative Skills
Since the role involves working across departments, highlight your experience in collaboration. Share examples of how you've worked with different teams to promote best practices and enhance customer treatment.
✨Demonstrate Attention to Detail
Given the meticulous nature of file reviews and data integrity, be ready to provide examples that showcase your attention to detail. Discuss any tools or methods you use to ensure accuracy in your work.
✨Prepare for Policy Discussions
Familiarize yourself with current policies and procedures in the financial sector. Be prepared to discuss how you would assess and refine these policies to improve efficiency and outcomes for clients.
