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For Companies At a Glance
- Tasks: Lead compliance efforts in a dynamic financial planning firm, ensuring robust governance standards.
- Company: Join a successful IFA firm known for its growth and strong reputation in wealth management.
- Benefits: Enjoy a competitive salary, flexible work options, and opportunities for professional development.
- Why this job: This role offers a chance to influence compliance culture while working closely with senior leaders.
- Qualifications: Must have experience in compliance within an IFA firm and ideally hold a CII Level 4 Diploma.
- Other info: Work four days in the office and one day from home, fostering a balanced work-life environment.
The predicted salary is between 42000 - 84000 £ per year.
Job Description
Compliance Officer
Wealth Management (IFA Firm)
Location: Cambridgeshire (4 days a week in the office, 1 day working from home)
Salary: To £70k + benefits
Looking to be the Compliance lead for successful financial planning firm without the responsibility of being an SMF?
Perhaps you're looking for a stepping stone to an SMF16 role but are not ready for that level of responsibility just yet.
Or perhaps you've previously operated as an SMF16 but now want a senior Compliance role without that added responsibility.
That’s what’s on offer here.
As part of a wider network, this established, and highly successful IFA firm operates as an Appointed Representative and their continued growth now means they’re looking to recruit a Compliance Officer to support the business in maintaining robust compliance and governance standards.
It’s a role that will see you work closely with the senior leadership team and influence how regulatory compliance is embedded across the business.
You’ll coordinate the internal application of the network’s policies and updated including those specifically related to documentation, communications, file checks and complaints.
You’ll oversee advice file reviews in accordance with network expectations and follow up on any remedial actions. You’ll also lead on the implementation and interpretation of the Consumer Duty rules and review and manage the sign-off process required for client-facing communications and materials.
In addition, you’ll work with departmental managers and advisers to ensure the network’s T&C scheme is appropriately embedded and organise and support adviser T&C meetings, observations and development planning.
You’ll be an experienced Compliance specialist with strong experience from within a Financial Planning / IFA firm and ideally hold at least CII Level 4 Diploma (e.g. DipPFS or equivalent).
You’ll also have a proven track record of senior stakeholder engagement and management and possess excellent communication, negotiating and influencing skills.
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 mark.wilson@willowresourcing.co.uk letting me know that you’re interested. We’ll pick it up from there.
Compliance Officer - IFA Firm employer: Willow Resourcing Limited
Contact Detail:
Willow Resourcing Limited Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer - IFA Firm
✨Tip Number 1
Familiarise yourself with the latest regulations and compliance standards in the financial planning sector. This will not only help you in interviews but also demonstrate your commitment to staying updated in a rapidly changing environment.
✨Tip Number 2
Network with professionals in the compliance field, especially those who have experience in IFA firms. Attend industry events or join relevant online forums to build connections that could lead to valuable insights or referrals.
✨Tip Number 3
Prepare to discuss specific examples of how you've successfully managed compliance issues in previous roles. Highlight your experience with stakeholder engagement and how you've influenced compliance practices within your team.
✨Tip Number 4
Research StudySmarter and our values, as well as the specific IFA firm you're applying to. Tailoring your conversation to align with our mission and demonstrating how you can contribute to our goals will set you apart from other candidates.
We think you need these skills to ace Compliance Officer - IFA Firm
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your experience in compliance within the financial planning or IFA sector. Emphasise any relevant qualifications, such as the CII Level 4 Diploma, and showcase your skills in stakeholder engagement and communication.
Craft a Compelling Cover Letter: Write a cover letter that specifically addresses the requirements of the Compliance Officer role. Mention your understanding of regulatory compliance and how your previous experience aligns with the responsibilities outlined in the job description.
Highlight Relevant Experience: In your application, focus on your past roles that involved compliance oversight, particularly in relation to documentation, communications, and file checks. Use specific examples to demonstrate your ability to influence compliance standards within a team.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any errors or inconsistencies. A polished application reflects your attention to detail, which is crucial for a Compliance Officer role.
How to prepare for a job interview at Willow Resourcing Limited
✨Understand the Role
Make sure you have a clear understanding of the Compliance Officer role within an IFA firm. Familiarise yourself with the specific responsibilities mentioned in the job description, such as overseeing advice file reviews and implementing Consumer Duty rules.
✨Showcase Your Experience
Prepare to discuss your previous experience in compliance, particularly within financial planning or IFA firms. Highlight any relevant qualifications, like the CII Level 4 Diploma, and be ready to provide examples of how you've engaged with senior stakeholders.
✨Demonstrate Communication Skills
Since excellent communication is key for this role, practice articulating your thoughts clearly and confidently. Be prepared to discuss how you've influenced compliance practices in past roles and how you can do the same in this position.
✨Ask Insightful Questions
Prepare thoughtful questions to ask during the interview. This could include inquiries about the firm's approach to compliance, how they measure success in this role, or what challenges they currently face in maintaining governance standards.
