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- Tasks: Support compliance, client onboarding, and maintain policies in a fast-paced environment.
- Company: Join a professional FCA regulated financial services firm in London.
- Benefits: Competitive salary, company pension, and private medical insurance after qualifying period.
- Why this job: Make a real impact in compliance while developing your skills in a dynamic team.
- Qualifications: Experience in compliance and excellent communication skills are essential.
- Other info: Full-time role with opportunities for growth and learning in financial services.
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 customer onboarding, maintaining policies, assisting the finance department and carrying out general office administration.
Key Responsibilities:- Onboarding for new clients and serving existing clients.
- Assist 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.
- Deal with client compliance issues and queries.
- Conduct continual client due diligence.
- Reviewing and updating client information and ensuring it is kept up to date.
- SMCR/Staff Training records - FCA compliance related.
- Maintain website information and policies update.
- Maintaining policies, client documentation and ensuring regulatory disclosures are up to date.
- General office administrative duties.
- Assist the treasury team with monitoring, tracking client payment requests and callback to verify instructions.
- Assist with opening new counterpart banking/financial institution accounts.
- Any other ad hoc office admin/compliance.
- 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 Slough 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 Slough
✨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 hunt 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 practising common interview questions related to client onboarding and compliance audits, so you can showcase your expertise and confidence when it counts.
✨Tip Number 3
Don’t forget to follow up after interviews! A quick thank-you email can go a long way in leaving a positive impression. It shows your enthusiasm for the role and keeps you fresh in their minds as they make their decision.
✨Tip Number 4
Apply through our website for the best chance at landing that Compliance Executive position. We love seeing applications directly from candidates who are genuinely interested in joining our fast-paced and inclusive team!
We think you need these skills to ace Compliance Executive in Slough
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 the perfect fit for our team. Mention your FCA experience and how you can contribute to our fast-paced environment. Keep it engaging and professional!
Show Off Your Communication Skills: Since excellent communication is key for this role, make sure your application reflects that. Use clear and concise language, and double-check for any typos or errors. We appreciate attention to detail!
Apply Through Our Website: We encourage you to apply directly through our website. It’s the easiest way for us to receive your application and ensures you’re considered for the role. Plus, it shows you’re keen on joining our team!
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 common compliance issues and how they are resolved, as this will show that you're not just a candidate but someone who understands the industry.
✨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 colleagues in the past, especially when dealing with compliance queries or documentation.
✨Get Comfortable with Tech
As the job mentions online onboarding software, it’s a good idea to familiarise yourself with any relevant tools or platforms. If you have experience with specific software, be ready to discuss how you used it to streamline processes or improve client interactions.
✨Prepare Questions for Them
Interviews are a two-way street! Think of insightful questions to ask about their compliance processes or team dynamics. This shows your genuine interest in the role and helps you gauge if the company is the right fit for you.
