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- 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 dynamic team environment.
- Why this job: Transition into compliance with full training and career progression opportunities.
- Qualifications: Experience in file review or paraplanning, understanding of FCA principles.
The predicted salary is between 40000 - 40000 £ per year.
Location: Chelmsford (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 Chelmsford 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 Chelmsford
✨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 opportunities. A friendly chat can lead to insider info about openings that aren't even advertised yet.
✨Tip Number 2
Prepare for those interviews! Research the company and its compliance practices, and think about how your paraplanning experience can add value. We want you to shine when discussing how you can contribute to their File Review team.
✨Tip Number 3
Don’t underestimate the power of follow-ups! After an interview or networking event, drop a quick thank-you email. It shows your enthusiasm and keeps you fresh in their minds. Plus, it’s a great way to reiterate your interest in the role.
✨Tip Number 4
Apply through our website! It’s the best way to ensure your application gets seen by the right people. Plus, we’re always looking for passionate candidates who are ready to make a difference in compliance.
We think you need these skills to ace Compliance File Reviewer (Wealth Management) in Chelmsford
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 skills can benefit us. Keep it concise but engaging – we love a good story!
Showcase Your Attention to Detail: As a File Reviewer, attention to detail is key. In your application, make sure to demonstrate this skill. Whether it’s through your CV formatting or the clarity of your writing, we want to see that you can spot the little things!
Apply Through Our Website: We encourage you to apply directly through our website for a smoother process. It helps us keep track of applications and ensures you’re considered for the role. Plus, it’s super easy – just a few clicks and you’re done!
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 specific examples where you’ve reviewed files or provided feedback. This will demonstrate your relevant experience and how it translates into the Compliance File Reviewer position.
✨Prepare Questions About the Role
Think of insightful questions to ask during the interview. Inquire about the training process for the Level 4 Diploma or how the team handles regulatory changes. This shows your enthusiasm and willingness to learn.
✨Be Ready for Scenario-Based Questions
Expect to be asked how you would handle certain situations, like dealing with business complaints or providing feedback to advice teams. Prepare some scenarios from your past experience that showcase your problem-solving skills and ability to work collaboratively.