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- Tasks: Ensure top-notch compliance and quality in financial advice through detailed reviews and audits.
- Company: Dynamic financial services firm focused on client outcomes and regulatory excellence.
- Benefits: Competitive salary, hybrid working, and opportunities for professional development.
- Other info: Join a supportive team with a commitment to continuous learning and growth.
- Why this job: Make a real difference in client outcomes while enhancing your compliance expertise.
- Qualifications: Experience in compliance or financial planning with strong analytical skills.
The predicted salary is between 63000 - 70000 £ per year.
To provide assurance on the quality of the suitability and documentation of advice from a 2nd line, compliance perspective. Reviewing initial and annual advice interactions and the framework that underpins them. Provide an integral component of the advice audit framework ensuring adherence to the firm’s overarching principles and guidance to ensure robust advice files which meet regulatory standards and demonstrate consistently good client outcomes.
Responsibilities:
- Enhance advisory outcomes and solutions through oversight of a range of financial planning cases.
- Provide clear and considered professional judgement and decision on cases which carry the potential for a higher risk impact to client, firm and advisers.
- Undertake a programme of advice reviews forming a coherent overall advice audit framework.
- The framework will include performing enhanced post audit review assessment of advice cases and evaluation of standards.
- Occasional inclusion in project work, assisting in the development of advice policy and regulatory processes across the business.
- Completing/checking regulatory industry update summaries and technical articles where required.
- Provide support to the Head of Compliance and wider compliance team on advice quality matters as needed.
- Maintain a high standard of technical and regulatory competence and comprehensive knowledge of financial planning through consistent annual CPD activities in line with the firm’s requirements.
Compliance Advice Technician employer: IDEX Consulting Ltd
Contact Detail:
IDEX Consulting Ltd Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Advice Technician
✨Tip Number 1
Network like a pro! Reach out to professionals in the compliance field on LinkedIn or at industry events. We can’t stress enough how valuable personal connections can be when it comes to landing that dream job.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of regulatory standards and compliance frameworks. We recommend practising common interview questions related to compliance advice, so you can showcase your expertise confidently.
✨Tip Number 3
Don’t just apply anywhere; focus on companies that align with your values and career goals. We suggest using our website to find roles that truly resonate with you, making your application stand out even more.
✨Tip Number 4
Follow up after interviews! A quick thank-you email can go a long way in showing your enthusiasm for the role. We believe this small gesture can keep you top of mind for hiring managers.
We think you need these skills to ace Compliance Advice Technician
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Advice Technician role. Highlight your experience in compliance and financial planning, and don’t forget to showcase any relevant qualifications or CPD activities that demonstrate your technical competence.
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you’re the perfect fit for the role. Mention specific experiences that relate to the responsibilities outlined in the job description, and show us your passion for compliance and client outcomes.
Showcase Your Judgement Skills: Since the role involves making professional judgements on higher risk cases, be sure to include examples in your application that demonstrate your decision-making skills. We want to see how you’ve navigated complex situations in the past!
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It’s the best way for us to receive your application and ensures you don’t miss out on any important updates from our team!
How to prepare for a job interview at IDEX Consulting Ltd
✨Know Your Compliance Stuff
Make sure you brush up on the latest compliance regulations and standards relevant to the financial planning sector. Being able to discuss recent changes or challenges in compliance will show that you're not just knowledgeable but also proactive about staying informed.
✨Showcase Your Analytical Skills
Prepare examples of how you've used your professional judgement in past roles, especially in high-risk situations. Be ready to discuss specific cases where your decisions led to positive outcomes, as this will demonstrate your ability to enhance advisory solutions.
✨Understand the Audit Framework
Familiarise yourself with the concept of an advice audit framework. Be prepared to talk about how you would approach reviewing advice interactions and ensuring they meet regulatory standards. This shows that you understand the core responsibilities of the role.
✨Engage with the Team
During the interview, express your enthusiasm for collaboration. Mention how you can support the Head of Compliance and the wider team. Highlighting your willingness to contribute to project work and policy development will make you stand out as a team player.