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- Tasks: Provide regulatory guidance and compliance oversight in a dynamic financial environment.
- Company: Foresters Financial is a leading financial services provider focused on delivering excellent customer outcomes.
- Benefits: Enjoy flexible working options, a company bonus, life assurance, and a contributory pension scheme.
- Why this job: Join a supportive team, make an impact on compliance, and grow your career in finance.
- Qualifications: Strong understanding of UK financial regulations and excellent communication skills are essential.
- Other info: Work 35 hours a week with flexible start times and up to 2/3 days remote work after training.
The predicted salary is between 36000 - 60000 £ per year.
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Foresters Financial provided pay range
This range is provided by Foresters Financial. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.
Base pay range
You will be operating as part of the second line of defence by providing regulatory technical and compliance oversight and practical guidance to the business. You will play a key role in the delivery of change to meet new and upcoming regulations and the compliance strategic plan.
Your day to day will include
- Providing expert and practical regulatory guidance, to the business in relation to its products, systems, policies, processes and controls
- Providing pragmatic guidance on regulatory matters
- Acting as the compliance SME on projects, governance committees and meetings
- Analysing and interpreting conduct risk and compliance MI sharing insights
- Providing support to business areas on how to appropriately resolve any identified compliance issues, including root cause analysis and remediation
- Maintaining a deep understanding of UK financial services regulation, and upcoming regulatory change, producing summaries and a Compliance Bulletin for all employees
- Being a key member of project teams providing technical compliance input
- Engaging in advisory work to provide guidance to staff on how to comply with relevant requirements in the context of issues raised during normal business activities
- Reviewing and approving all financial promotions, marketing material and the website, escalating concerns to the Head of Compliance
- Supporting the development and review of key compliance policies, processes and controls, working with Risk and Internal Audit
- Assisting in compliance reporting for the Executive, Board and IoF
Working hours are 35 hours a week Monday to Friday. Start times can vary from 8am to 9.30am. After a successful training period there is flexibility to work from home up to 2/3 days a week
What we require:
- Good understanding of UK financial services regulation, how it applies to Foresters and the impact of the requirements
- A strong understanding of regulatory and conduct risk management practices in financial services, and what it means to deliver good customer outcomes
- Commercially sensitive and pragmatic, with the ability to take a risk-based approach on decisions that impact the business
- Confident in voicing an opinion and escalate to the Head of Compliance if uncomfortable with the decisions made by the business
- Excellent interpersonal, influencing and communication skills, including the ability to explain requirements in straightforward/ practical terms
- Solution and delivery focused, with high energy and drive, and ability to deliver through others
- Must be able to build strong relationships with key stakeholders across the business at all levels
- Excellent planning and report writing skills
What we offer you
- Company Bonus dependent on your performance and company performance
- Life Assurance (4x pensionable earnings)
- Contributory Pension scheme
- Season Ticket Loan
- 1 days paid charitable work
- Employee Assistance Programme
Seniority level
-
Seniority level
Mid-Senior level
Employment type
-
Employment type
Full-time
Job function
-
Job function
Finance
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Compliance Specialist employer: Foresters Financial
Contact Detail:
Foresters Financial Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Specialist
✨Tip Number 1
Familiarise yourself with the latest UK financial services regulations and compliance frameworks. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in a rapidly changing environment.
✨Tip Number 2
Network with professionals in the compliance field, especially those who work at Foresters Financial or similar companies. Engaging in conversations can provide insights into the company culture and expectations, which can be invaluable during the interview process.
✨Tip Number 3
Prepare to discuss real-life scenarios where you've successfully navigated compliance issues or regulatory challenges. Being able to share specific examples will showcase your problem-solving skills and practical experience.
✨Tip Number 4
Demonstrate your ability to build relationships by preparing questions that show your interest in collaboration and stakeholder engagement. This will highlight your interpersonal skills, which are crucial for a Compliance Specialist role.
We think you need these skills to ace Compliance Specialist
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities of a Compliance Specialist. Familiarise yourself with UK financial services regulation and how it applies to Foresters Financial.
Tailor Your CV: Highlight your relevant experience in regulatory compliance and risk management. Use specific examples that demonstrate your understanding of compliance issues and your ability to provide practical guidance.
Craft a Strong Cover Letter: In your cover letter, express your enthusiasm for the role and explain how your skills align with the requirements. Mention your ability to build relationships with stakeholders and your experience in compliance reporting.
Proofread Your Application: Ensure that your CV and cover letter are free from errors. A well-presented application reflects your attention to detail, which is crucial for a Compliance Specialist.
How to prepare for a job interview at Foresters Financial
✨Know Your Regulations
Make sure you have a solid understanding of UK financial services regulations. Be prepared to discuss how these regulations apply to the company and the potential impact on their operations.
✨Showcase Your Problem-Solving Skills
Be ready to provide examples of how you've resolved compliance issues in the past. Highlight your ability to conduct root cause analysis and implement effective remediation strategies.
✨Communicate Clearly
Demonstrate your excellent interpersonal and communication skills by explaining complex regulatory requirements in simple terms. Practice articulating your thoughts clearly and confidently.
✨Build Relationships
Emphasise your ability to build strong relationships with stakeholders. Share examples of how you've successfully collaborated with different teams to achieve compliance objectives.