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- Tasks: Support compliance, client onboarding, and maintain policies in a fast-paced environment.
- Company: Dynamic FCA regulated financial services firm based in London.
- Benefits: Competitive salary, company pension, and private medical insurance after qualifying period.
- Why this job: Join a collaborative team and make a real impact in the financial services sector.
- Qualifications: Experience in compliance and excellent communication skills required.
- Other info: Full-time role with great career growth opportunities in a supportive atmosphere.
The predicted salary is between 28800 - 48000 £ per year.
A professional FCA regulated financial services business based in London seeks an experienced candidate for support in compliance, client onboarding and maintaining policies. We are a fast-paced and inclusive firm and a candidate with a legal background and FCA experience would be advantageous.
We are looking for an experienced Compliance Executive to join our team and provide support to our staff. The successful candidate will be responsible for a variety of tasks, including:
- Onboarding for new clients and serving existing clients.
- Assisting with carrying out internal compliance audits as per framework standards.
- Ensuring all client documentation required for compliance purposes is obtained.
- Contacting clients via email/phone to chase outstanding documentation.
- Dealing with client compliance issues and queries.
- Conducting continual client due diligence.
- Reviewing and updating client information and ensuring it is kept up to date.
- Maintaining SMCR/Staff Training records - FCA compliance related.
- Maintaining website information and policies update.
- General office administrative duties.
- Assisting the treasury team with monitoring, tracking client payment requests and callback to verify instructions.
- Assisting with opening new counterpart banking/financial institution accounts.
- Any other ad hoc office admin/compliance.
Skills & Competencies required:
- Excellent communication skills, written and telephone.
- Advanced Word, Excel and MS Office applications.
- Knowledge of working in Financial Services.
- Experience of working with online onboarding software would be advantageous.
Job Types: Full-time, Permanent
Salary: Subject to experience.
Benefits: (after qualifying period) Company pension, Private medical insurance.
Schedule: In Office, Monday to Friday – in office 8.30am - 5.30pm with 1 hour lunch.
Compliance Executive in City of London employer: Global Investment Strategy UK Ltd
Contact Detail:
Global Investment Strategy UK Ltd Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Executive in City of London
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial services sector and let them know you're on the lookout for a Compliance Executive role. You never know who might have the inside scoop on job openings or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by brushing up on your compliance knowledge and FCA regulations. We recommend doing mock interviews with friends or using online platforms to practice common questions. The more confident you are, the better you'll perform!
✨Tip Number 3
Showcase your skills! When you get the chance to meet potential employers, highlight your experience with client onboarding and compliance audits. Use specific examples from your past roles to demonstrate how you can add value to their team.
✨Tip Number 4
Don't forget to apply through our website! We make it super easy for you to find and apply for the Compliance Executive position. Plus, it shows you're genuinely interested in joining our fast-paced and inclusive firm.
We think you need these skills to ace Compliance Executive in City of London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Executive role. Highlight your experience in compliance, client onboarding, and any relevant legal background. We want to see how your skills match what we're looking for!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how your previous experiences make you a great fit for our team. Keep it concise but impactful!
Showcase Your Communication Skills: Since excellent communication is key for this role, make sure your application reflects that. Use clear and professional language, and don’t forget to proofread for any typos or errors. We love attention to detail!
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it’s super easy – just follow the prompts!
How to prepare for a job interview at Global Investment Strategy UK Ltd
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of compliance regulations, especially those related to the FCA. Familiarise yourself with the latest updates and how they impact client onboarding and documentation. This will show that you're not just a candidate, but someone who genuinely understands the field.
✨Show Off Your Communication Skills
Since excellent communication is key for this role, practice articulating your thoughts clearly. Prepare examples of how you've effectively communicated with clients or resolved compliance issues in the past. This will help demonstrate your ability to handle client queries and maintain strong relationships.
✨Get Comfortable with Tech
As the job mentions online onboarding software, make sure you're familiar with any relevant tools or platforms. If you have experience with specific software, be ready to discuss it. If not, do a bit of research on common systems used in the industry to show your willingness to learn.
✨Prepare for Scenario Questions
Expect questions that put you in hypothetical situations related to compliance challenges. Think about how you would handle issues like missing documentation or client disputes. Practising these scenarios can help you respond confidently and showcase your problem-solving skills.
