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- Tasks: Ensure compliance and quality assurance in client advice files while collaborating with teams.
- Company: Dynamic wealth management firm based in Harrogate.
- Benefits: Competitive salary, pension scheme, annual leave, and training opportunities.
- Why this job: Make a real impact on client advice quality in a hybrid work environment.
- Qualifications: 2+ years in an FCA-regulated environment and Level 4 Diploma in Financial Planning.
- Other info: Join a supportive team focused on professional growth and development.
The predicted salary is between 30000 - 42000 £ per year.
A dynamic wealth management firm in Harrogate is seeking a skilled professional to ensure compliance and quality assurance in client advice files. This hybrid role requires at least 2 years of experience in an FCA-regulated environment and a Level 4 Diploma in Financial Planning.
You will review and assess financial documentation, collaborate with various teams, and provide valuable feedback to improve overall quality.
The position offers competitive benefits, including a pension scheme, annual leave, and opportunities for further training.
Compliance File Checker – Hybrid (Advice Quality) in Harrogate employer: Titan Wealth
Contact Detail:
Titan Wealth Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance File Checker – Hybrid (Advice Quality) in Harrogate
✨Tip Number 1
Network like a pro! Reach out to your connections in the finance and compliance sectors. We all know that sometimes it’s not just what you know, but who you know that can help you land that dream job.
✨Tip Number 2
Prepare for those interviews by brushing up on your knowledge of FCA regulations and compliance standards. We want you to feel confident discussing your experience and how it aligns with the role of a Compliance File Checker.
✨Tip Number 3
Don’t forget to showcase your attention to detail! When you get the chance to discuss your previous work, highlight specific examples where your thoroughness made a difference in compliance or quality assurance.
✨Tip Number 4
Apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who take the initiative to connect directly with us.
We think you need these skills to ace Compliance File Checker – Hybrid (Advice Quality) in Harrogate
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your experience in an FCA-regulated environment and showcases your Level 4 Diploma in Financial Planning. We want to see how your skills align with the role, so don’t hold back on relevant achievements!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you’re passionate about compliance and quality assurance in financial advice. We love seeing genuine enthusiasm, so let your personality come through.
Showcase Your Teamwork Skills: Since this role involves collaborating with various teams, highlight any past experiences where you’ve worked effectively with others. We value teamwork, so share examples that demonstrate your ability to provide constructive feedback and improve processes.
Apply Through Our Website: We encourage you to apply directly 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 Titan Wealth
✨Know Your Compliance Stuff
Make sure you brush up on the latest FCA regulations and compliance standards. Being able to discuss specific examples of how you've ensured compliance in previous roles will show that you're not just familiar with the rules, but that you can apply them effectively.
✨Showcase Your Attention to Detail
As a Compliance File Checker, attention to detail is key. Prepare to discuss instances where your keen eye for detail has helped identify issues or improve processes. Bring along examples of documentation you've reviewed and how your feedback made a difference.
✨Collaboration is Key
This role involves working with various teams, so be ready to talk about your experience collaborating with others. Think of specific projects where teamwork led to successful outcomes, and highlight your communication skills in those scenarios.
✨Ask Insightful Questions
Prepare some thoughtful questions about the company's approach to compliance and quality assurance. This shows your genuine interest in the role and helps you gauge if the company culture aligns with your values. Plus, it gives you a chance to demonstrate your knowledge of the industry!
