At a Glance
- Tasks: Ensure compliance and quality of financial advice through file and call checking.
- Company: Award-winning financial advice firm with a growing team.
- Benefits: Competitive salary, supportive environment, and opportunities for professional growth.
- Other info: Be part of an expanding practice with excellent career advancement potential.
- Why this job: Join a dynamic team and make a real difference in financial compliance.
- Qualifications: Attention to detail and strong communication skills required.
The predicted salary is between 36000 - 60000 £ per year.
A leading regional Financial Advice firm are looking to appoint a Compliance Officer to join their expanding team. Reporting to the Compliance Director, you will be the first point of contact for Advisers and sense and fact checking the work completed by the business. The practice have significant and expanding numbers of advisers and paraplanners and are an award winning business.
About the Role
The role involves various compliance-related tasks to ensure the quality and suitability of advice provided by the firm.
Responsibilities
- File checking to check suitability of advice
- Call checking to check suitability of advice
- Assessing vulnerability characteristics and support needed
- Delivering feedback to advisers, paraplanners and management
- Liaising with Compliance Director on individual cases as well as assisting them in developing, implementing and monitoring compliance policies and procedures
- When required speaking with clients via telephone or email to discuss and resolve issues before they are escalated to Compliance Director when appropriate
- Providing support to departments across the business for ad-hoc queries
- Ensuring adherence to regulations, legislation and internal policies
Qualifications
To apply, send your CV to michael.long@fergusondean.co.uk
Compliance Officer in Manchester employer: Ferguson Dean
Ferguson Dean is an outstanding employer, offering a dynamic work culture in Carlisle that prioritises employee growth and development. With competitive salaries and executive benefits, the company fosters a supportive environment where advisors can thrive while managing high-net-worth portfolios. This role not only provides full technical support but also encourages proactive client management, making it an ideal opportunity for those looking to advance their careers in financial advisory.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Officer in Manchester
✨Tip Number 1
Network like a pro! Reach out to current employees at the firm or connect with industry professionals on LinkedIn. A friendly chat can give us insights into the company culture and might even lead to a referral.
✨Tip Number 2
Prepare for the interview by brushing up on compliance regulations and the specific challenges faced by financial advisers. We want to show that we’re not just knowledgeable but also genuinely interested in the role.
✨Tip Number 3
Practice makes perfect! Conduct mock interviews with friends or family, focusing on common compliance-related questions. This will help us articulate our thoughts clearly and confidently when it counts.
✨Tip Number 4
Don’t forget to follow up after the interview! A quick thank-you email can leave a lasting impression and shows our enthusiasm for the position. Let’s make sure they remember us!
We think you need these skills to ace Compliance Officer in Manchester
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Compliance Officer role. Highlight relevant experience and skills that match the job description, like file checking and liaising with advisers. We want to see how you can bring value to our expanding team!
Showcase Your Attention to Detail:As a Compliance Officer, attention to detail is key. In your application, give examples of how you've successfully checked work for accuracy or ensured compliance in previous roles. This will show us you're the right fit for the job!
Be Clear and Concise:When writing your application, keep it clear and concise. Use straightforward language and avoid jargon. We appreciate a well-structured application that gets straight to the point, so we can easily see your qualifications.
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 don’t miss any important updates. Plus, it shows us you’re keen on joining our award-winning team!
How to prepare for a job interview at Ferguson Dean
✨Know Your Compliance Stuff
Make sure you brush up on the latest regulations and compliance standards relevant to the financial advice sector. Being able to discuss specific legislation and how it impacts the firm will show that you're serious about the role.
✨Prepare for Scenario Questions
Expect to be asked how you would handle specific compliance scenarios. Think of examples from your past experience where you've successfully navigated compliance issues, and be ready to explain your thought process.
✨Show Your Communication Skills
As a Compliance Officer, you'll need to liaise with advisers and management regularly. Be prepared to demonstrate your ability to deliver feedback constructively and clearly during the interview. Practice articulating your thoughts on compliance matters.
✨Ask Insightful Questions
At the end of the interview, don’t shy away from asking questions. Inquire about the firm's approach to compliance and how they support their advisers. This shows your interest in the role and helps you gauge if the company is the right fit for you.
