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- Tasks: Review financial files and provide feedback to ensure compliance with regulations.
- 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 progression opportunities.
- Qualifications: Experience in paraplanning or file review within Wealth Management.
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. Not got an up to date CV? Don’t worry, you can always give me (Mark) a call on 0121 274 0357 for a confidential discussion or email me at letting me know that you’re interested. We’ll pick it up from there.
Compliance File Reviewer (Wealth Management) in Bath 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
✨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 interviews by brushing up on FCA principles and Conduct of Business rules. We want you to feel confident discussing these topics, as they’re crucial for the role. Practise common interview questions and think about how your paraplanning experience can translate into compliance.
✨Tip Number 3
Don’t underestimate the power of follow-ups! After an interview, drop a quick thank-you email to express your appreciation for the opportunity. It shows your enthusiasm and keeps you fresh in their minds.
✨Tip Number 4
Apply through our website for the best chance at landing the job! We love seeing applications come directly from our site, and it helps us keep track of all the amazing candidates like you. So, don’t hesitate – hit that apply button!
We think you need these skills to ace Compliance File Reviewer (Wealth Management) in Bath
Some tips for your application 🫡
Tailor Your CV: Make sure your CV reflects your experience in paraplanning or file review. Highlight any relevant skills and knowledge of FCA principles to show us you’re the right fit for the Compliance File Reviewer role.
Craft a Compelling Cover Letter: Use your cover letter to tell us why you’re passionate about compliance and wealth management. Share specific examples of your experience that align with the job description, and let your personality shine through!
Showcase Your Attention to Detail: As a File Reviewer, attention to detail is key. Make sure your application is free from typos and errors. This will demonstrate your commitment to quality and thoroughness right from the start.
Apply Through Our Website: We encourage you to apply directly through our website. It’s the easiest way for us to receive your application and ensures you don’t miss out on any important updates regarding your application status.
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 your skills translate into compliance. Be ready to share specific examples of how you’ve provided constructive feedback or dealt with business issues in the past.
✨Prepare Questions About Training and Growth
Since this role offers training and career progression, come prepared with questions about the support you'll receive for your Level 4 Diploma and potential career paths within the company. This shows your eagerness to grow and learn.
✨Stay Updated on Regulatory Changes
Demonstrate your commitment to the field by discussing recent regulatory developments. Mention any changes you’ve been following and how they might impact the business. This will set you apart as someone who’s proactive and informed.