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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: Company pension, private medical insurance, and competitive salary.
- Why this job: Join a collaborative team and make a real impact in compliance.
- Qualifications: Excellent communication skills and experience in financial services preferred.
- Other info: Full-time role with opportunities for growth and development.
The predicted salary is between 36000 - 60000 £ 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.
The successful candidate will be responsible for a variety of tasks, including:
- 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.
- 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.
- 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 tasks.
Requirements:
- 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
Seniority level: Mid-Senior level
Employment type: Full-time
Job function: Business Development and Sales
Compliance Executive 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
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial services sector, especially those with FCA experience. A friendly chat can lead to insider info about job openings or even a referral.
✨Tip Number 2
Prepare for interviews by brushing up on compliance regulations and client onboarding processes. We recommend practising common interview questions related to compliance issues so you can showcase your expertise confidently.
✨Tip Number 3
Don’t underestimate the power of follow-ups! After an interview, drop a quick thank-you email to express your appreciation. It keeps you fresh in their minds and shows your enthusiasm for the role.
✨Tip Number 4
Apply through our website for the best chance at landing that Compliance Executive role. We love seeing candidates who take the initiative and show genuine interest in joining our fast-paced team!
We think you need these skills to ace Compliance Executive
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 FCA knowledge. We want to see how your background fits with what we do!
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 skills can benefit our team. Keep it concise but engaging – we love a good story!
Show Off Your Communication Skills: Since excellent communication is key for this role, make sure your written application reflects that. Use clear language, check for typos, and ensure your tone matches our fast-paced and inclusive vibe.
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 get all the latest updates from us. Plus, it’s super easy!
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 FCA regulations and compliance standards. Familiarise yourself with the specific policies and procedures relevant to the role, as this will show that you're serious about the position and understand the industry.
✨Showcase Your Communication Skills
Since excellent communication is key in this role, prepare examples of how you've effectively communicated with clients or colleagues in the past. Think about times when you resolved compliance issues or handled client queries, and be ready to discuss these experiences.
✨Be Ready for Scenario Questions
Expect to face scenario-based questions during the interview. Prepare by thinking through potential compliance challenges you might encounter in the role and how you would address them. This will demonstrate your problem-solving skills and your ability to think on your feet.
✨Highlight Your Tech Savvy
Since experience with online onboarding software is advantageous, be prepared to discuss any relevant tools or systems you've used in the past. If you have experience with advanced Excel functions or other MS Office applications, make sure to mention that too!
