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- Tasks: Ensure compliance with regulations and support the Risk and Compliance team.
- Company: Rapidly growing company focused on ethical business practices.
- Benefits: Competitive salary, professional development, and a supportive team environment.
- Other info: Opportunity to grow in a fast-paced environment while upholding integrity.
- Why this job: Join a dynamic team and make a real impact in compliance and ethics.
- Qualifications: Diploma or equivalent, with 2-5 years in compliance, preferably in financial advisory.
The predicted salary is between 30000 - 40000 £ per year.
Established and rapidly growing company seeks a compliance officer to work in a team to fulfil its functions for the smooth running of the company. As our new compliance executive, you will ensure that the company functions in a legal and ethical manner while meeting its business goals.
Job Responsibilities:
- Support the Risk and Compliance department of SYNERGY.
- Perform responsibilities to ensure company complies with regulatory requirements which include balanced scorecard audits, regulatory reporting, complaints handling, investigation and resolutions.
- Processing recruitment and cessation of financial adviser representatives.
- Reviewing and approval of marketing materials.
- Motivated to stay abreast of regulatory developments and take charge of communicating the changes and support implementation; not limited to Financial Advisers Act, Personal Data Protection Act.
- Conduct due diligence on new business relationships and support ongoing due diligence requirements from business partners.
- Any other tasks assigned by Management.
This role reports directly to the Head of Risk and Compliance.
Job Requirements:
- Minimum academic qualification of a Diploma or equivalent.
- At least two (2) to five (5) years’ experience working within a compliance background in the financial advisory (FA) industry, preferably with compliance qualifications or experience in the FA or insurance industry.
- Able to handle documentation work with an eye for details.
- Skilled at conducting investigative interviews and possess strong analytical skills.
- Familiar with Financial Advisers Act and Regulations, Personal Data Protection Act, MAS notices and guidelines.
- Must be meticulous and able to multi-task competing priorities whilst maintaining a high degree of accuracy and attention to detail.
- High regard for ethics and integrity in discharging all functions.
- Strong communication skills to liaise with different stakeholders.
- Diligent, able to work independently and under pressure.
- Willing to learn, with a positive attitude, curiosity, adaptability to SYNERGY culture, and a team player.
Compliance Executive employer: SYNERGY FINANCIAL ADVISERS LTD.
Contact Detail:
SYNERGY FINANCIAL ADVISERS 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 compliance and financial advisory sectors. Attend industry events or webinars to meet potential employers and get your name out there. Remember, it’s all about who you know!
✨Tip Number 2
Prepare for interviews by researching the company and its compliance practices. Be ready to discuss how your experience aligns with their needs. Show them you’re not just another candidate; you’re the perfect fit for their team!
✨Tip Number 3
Don’t underestimate the power of follow-ups! After an interview, send a quick thank-you email to express your appreciation and reiterate your interest in the role. It keeps you on their radar and shows your enthusiasm.
✨Tip Number 4
Apply through our website for the best chance at landing that Compliance Executive role! We want to see your application and help you take the next step in your career. Let’s make it happen together!
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, especially in the financial advisory industry, and showcase any relevant qualifications. We want to see how your skills align with our needs!
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 you can contribute to our team at SYNERGY. Be sure to mention specific experiences that relate to the job description.
Showcase Your Attention to Detail: Since this role requires meticulous documentation work, make sure your application is free from typos and errors. We appreciate candidates who demonstrate their attention to detail right from the start!
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best 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 SYNERGY FINANCIAL ADVISERS LTD.
✨Know Your Regulations
Make sure you brush up on the Financial Advisers Act and the Personal Data Protection Act before your interview. Being able to discuss these regulations confidently will show that you're not just familiar with compliance but also genuinely interested in the role.
✨Showcase Your Analytical Skills
Prepare examples from your past experience where you've had to conduct investigations or audits. Highlight how your analytical skills helped resolve issues or improve processes. This will demonstrate your capability to handle the responsibilities of the Compliance Executive role.
✨Be Detail-Oriented
Since the job requires meticulous documentation work, be ready to discuss how you ensure accuracy in your tasks. You might even want to bring a sample of your work (if appropriate) to showcase your attention to detail during the interview.
✨Communicate Effectively
Practice articulating your thoughts clearly and concisely. You'll need strong communication skills to liaise with various stakeholders, so consider doing mock interviews with friends or family to refine your delivery and build confidence.