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For Companies At a Glance
- Tasks: Review files and provide feedback to ensure compliance in wealth management.
- Company: Fast-growing wealth management firm with a supportive culture.
- Benefits: Salary up to £40k, bonuses, benefits, and training for Level 4 Diploma.
- Other info: Hybrid work model with a focus on professional development.
- Why this job: Transition into compliance with full training and career growth opportunities.
- Qualifications: Experience in file review or paraplanning, understanding of FCA principles.
The predicted salary is between 40000 - 40000 £ per year.
Location: Bath (Hybrid – 2 days a week in the office)
Salary: To £40k + bonus + benefits
What’s in it for you?
This is a great opportunity for a Paraplanner to make the move into Compliance. You’ll receive full training to ensure you make the transition into the File Review team successfully and you’ll also receive full support to complete your Level 4 Diploma (if required). You’ll also be joining a wealth management firm that’s growing quickly but sustainably. This growth is likely to create opportunities for your further career progression either within the File Review team or across the wider Compliance function.
What you’ll be doing
- You’ll review pre- and post- advice files in line with firm’s T&C scheme, providing constructive feedback and support to the advice teams to deal with any remedial action quickly.
- You’ll also assist with business complaint investigations and business issues and liaise with staff to resolve these in a timely manner.
- In addition, you’ll keep up to date with regulatory developments and identify any issues that may impact the business, escalating as appropriate.
What we’re looking for
You’ll either have spent time in a similar file review position or in paraplanning, within the Wealth Management arena and have a good understanding of FCA principles and Conduct of Business rules. You’ll be working towards your CII Level 4 Diploma.
Interested? If so, click apply and send over your CV.
Locations
Compliance File Reviewer (Wealth Management) in Bath, Somerset employer: Willow Resourcing Limited
Contact Detail:
Willow Resourcing Limited Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance File Reviewer (Wealth Management) in Bath, Somerset
✨Tip Number 1
Network like a pro! Reach out to your connections in the wealth management sector and let them know you're on the lookout for a Compliance File Reviewer role. You never know who might have the inside scoop on job openings or can put in a good word for you.
✨Tip Number 2
Prepare for those interviews! Research common questions for compliance roles and practice your answers. We recommend using the STAR method (Situation, Task, Action, Result) to structure your responses and showcase your experience effectively.
✨Tip Number 3
Show off your knowledge of FCA principles! During interviews, be ready to discuss how you stay updated with regulatory developments. This will demonstrate your commitment to the field and your proactive approach to compliance.
✨Tip Number 4
Apply through our website! It’s the best way to ensure your application gets noticed. Plus, if you have any questions, don’t hesitate to reach out to Mark directly. He’s there to help you through the process!
We think you need these skills to ace Compliance File Reviewer (Wealth Management) in Bath, Somerset
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance File Reviewer role. Highlight any relevant experience in paraplanning or file review, and don’t forget to mention your understanding of FCA principles. We want to see how you fit into our team!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're interested in transitioning into compliance and how your background makes you a great fit. We love seeing enthusiasm and a clear connection to the role.
Showcase Your Skills: In your application, be sure to showcase your analytical skills and attention to detail. These are key for reviewing files effectively. We’re looking for someone who can provide constructive feedback, so let us know how you’ve done this in the past!
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It helps us keep track of applications and ensures you get all the updates. Plus, it’s super easy – just click apply and send over your CV!
How to prepare for a job interview at Willow Resourcing Limited
✨Know Your Compliance Stuff
Make sure you brush up on FCA principles and Conduct of Business rules before the interview. Being able to discuss these topics confidently will show that you’re serious about the role and understand the industry.
✨Showcase Your Paraplanning Experience
If you’ve got a background in paraplanning, highlight how those skills transfer to compliance. Be ready to share specific examples of how your experience can benefit the File Review team.
✨Prepare for Scenario Questions
Expect questions about how you would handle certain situations, like dealing with complaints or providing feedback. Think through some scenarios in advance so you can respond thoughtfully and demonstrate your problem-solving skills.
✨Ask Insightful Questions
At the end of the interview, don’t forget to ask questions! Inquire about the training process for the Level 4 Diploma or how the team handles regulatory changes. This shows your enthusiasm and interest in growing within the company.