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- Tasks: Oversee compliance for direct equity investments and ensure robust network standards.
- Company: Join Julian Harris Adviser Networks, a leader in supporting independent financial advisers.
- Benefits: Competitive contract rate, flexible working arrangements, and professional development opportunities.
- Why this job: Make a real impact in investment compliance while working with a dynamic team.
- Qualifications: Strong background in investment compliance and relevant qualifications required.
- Other info: Opportunity to enhance governance and improve compliance frameworks.
The predicted salary is between 48000 - 72000 £ per year.
About Julian Harris Adviser Networks
Julian Harris Adviser Network is an adviser network supporting independent financial advisers across investments, pensions, mortgages and protection. We are growing our direct equity investment capability and are seeking an experienced compliance professional to help us build, oversee and assure robust network-level standards in this area.
The Role
We are looking for an experienced contract compliance specialist to work on our direct equity investment compliance framework.
Key Responsibilities
- Review and determine our network-wide policies and procedures for direct equity investments, in conjunction with our Head of Compliance.
- Review and audit current direct equity investment cases submitted by advisers.
- Conduct ongoing thematic and file reviews, identifying risks, trends and control improvements.
- Provide clear, pragmatic feedback to advisers and Network Senior Managers.
- Ensure procedures remain aligned with FCA expectations and best practice.
- Support continuous improvement of governance, documentation and audit trails.
About You
- Strong background in investment compliance, with exposure to direct equities.
- Relevant qualification in this area - minimum Level 4, preferably Level 6.
- Experience working with or within adviser networks, compliance consult.
Direct Equity Investment Compliance Supervisor in Ashford employer: Julian Harris Adviser Networks
Contact Detail:
Julian Harris Adviser Networks Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Direct Equity Investment Compliance Supervisor in Ashford
✨Tip Number 1
Network, network, network! Reach out to your connections in the finance and compliance sectors. Attend industry events or webinars where you can meet potential employers or colleagues. We all know that sometimes it’s not just what you know, but who you know!
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of FCA regulations and compliance best practices. We recommend creating a cheat sheet of key points to discuss, especially how your experience aligns with the role of Direct Equity Investment Compliance Supervisor.
✨Tip Number 3
Showcase your expertise! When you get the chance to speak with potential employers, highlight specific examples from your past work that demonstrate your ability to improve compliance frameworks. We want to see how you can add value to their team.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets seen by the right people. Plus, we love seeing candidates who take the initiative to engage directly with us.
We think you need these skills to ace Direct Equity Investment Compliance Supervisor in Ashford
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Direct Equity Investment Compliance Supervisor role. Highlight your experience in investment compliance and any relevant qualifications you have. We want to see how your background aligns with our needs!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for this role. Share specific examples of your experience with direct equities and how you've contributed to compliance frameworks in the past.
Showcase Your Skills: Don’t forget to showcase your skills in reviewing policies and conducting audits. We’re looking for someone who can provide clear feedback and identify risks, so make sure to mention any relevant experiences that demonstrate these abilities.
Apply Through Our Website: We encourage you to apply through our website for a smoother application process. It’s the best way for us to receive your application and ensures you don’t miss out on any important updates from us!
How to prepare for a job interview at Julian Harris Adviser Networks
✨Know Your Compliance Stuff
Make sure you brush up on your investment compliance knowledge, especially around direct equities. Familiarise yourself with FCA expectations and best practices, as you'll likely be asked how you would ensure alignment with these standards.
✨Showcase Your Experience
Prepare to discuss your previous roles in compliance, particularly any experience you've had with adviser networks. Be ready to share specific examples of how you've reviewed policies or conducted audits, as this will demonstrate your hands-on expertise.
✨Think About Continuous Improvement
Julian Harris Adviser Networks is keen on governance and documentation. Think about how you can contribute to continuous improvement in these areas. Have a few ideas ready to share during the interview about how you would enhance their compliance framework.
✨Prepare for Scenario Questions
Expect scenario-based questions where you might need to identify risks or suggest control improvements. Practise articulating your thought process clearly, as this will show your analytical skills and ability to provide pragmatic feedback.
