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- Tasks: Ensure compliance with regulations and support financial planning processes.
- Company: Award-winning financial planning and investment company in Birmingham.
- Benefits: Competitive salary, hybrid work model, and career development opportunities.
- Why this job: Join a dynamic team and make a real impact in the financial sector.
- Qualifications: 2+ years in IFA compliance and Level 4 Diploma in Regulated Financial Planning.
- Other info: Collaborate with senior management and enhance your compliance expertise.
The predicted salary is between 36000 - 60000 £ per year.
This is an award winning financial planning and investment company that specialises in providing a wide range of services to private clients, corporations, HNW individuals and financial services professionals across the UK. This company has an exciting opportunity to work alongside the Managing Director and wider SLT panel. This role will be a vital part of the financial planning process supporting across multiple functions / stakeholders, ensuring operations are carried out correctly.
Role Responsibilities:
- Keep up to date with regulatory requirements and advise senior management of any changes
- Compliance monitoring and reporting
- Checking client files for compliance
- Reporting to FCA
- Maintain the FCA directory
- Adviser training and competency
Experience Requirements:
- 2 years minimum experience in an IFA compliance officer role (essential)
- Level 4 Diploma in Regulated Financial Planning with CII or LIBF, or working toward/mostly there (essential)
- Proficiency with Microsoft Office (essential)
- Strong knowledge of FCA guidelines relating to IFA firms (essential)
- Working knowledge of research and provider systems (essential)
Compliance Officer in Birmingham employer: Heat Recruitment
Contact Detail:
Heat Recruitment Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer in Birmingham
✨Tip Number 1
Network like a pro! Reach out to your connections in the finance and compliance sectors. Attend industry events or webinars to meet potential employers and get your name out there. We all know that sometimes it’s not just what you know, but who you know!
✨Tip Number 2
Prepare for interviews by researching the company inside out. Understand their services, values, and recent news. This will help us tailor your answers and show them you’re genuinely interested in being part of their team.
✨Tip Number 3
Practice common interview questions related to compliance and regulatory requirements. We can even do mock interviews together! The more comfortable you are with your responses, the more confident you’ll feel during the real deal.
✨Tip Number 4
Don’t forget to follow up after your interviews! A simple thank-you email can go a long way in leaving a positive impression. Plus, it shows you’re keen and professional, which is exactly what they want in a Compliance Officer.
We think you need these skills to ace Compliance Officer in Birmingham
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Officer role. Highlight your experience in IFA compliance and any relevant qualifications, like your Level 4 Diploma. We want to see how your skills match what we're looking for!
Showcase Your Knowledge: In your cover letter, demonstrate your understanding of FCA guidelines and how you've applied them in previous roles. This will show us that you're not just a good fit on paper, but you really know your stuff!
Be Clear and Concise: When writing your application, keep it clear and to the point. Use bullet points where necessary to make it easy for us to read. We appreciate straightforward communication, especially in compliance!
Apply Through Our Website: Don't forget to apply through our website! It’s the best way for us to receive your application and ensures you’re considered for the role. We can’t wait to hear from you!
How to prepare for a job interview at Heat Recruitment
✨Know Your Regulations
Make sure you brush up on the latest FCA guidelines and compliance requirements. Being able to discuss recent changes and how they impact the role will show that you're proactive and knowledgeable.
✨Showcase Your Experience
Prepare specific examples from your previous roles where you've successfully monitored compliance or trained advisers. This will help demonstrate your hands-on experience and how it aligns with the company's needs.
✨Familiarise Yourself with Their Operations
Research the company’s services and client base. Understanding their approach to financial planning and investment will allow you to tailor your answers and show that you're genuinely interested in the role.
✨Practice Your Reporting Skills
Since reporting is a key part of the role, be ready to discuss how you’ve handled compliance reporting in the past. You might even want to prepare a mock report to showcase your analytical skills during the interview.