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- Tasks: Lead compliance efforts in a thriving financial planning firm, ensuring robust governance standards.
- Company: Join a well-established and successful IFA firm with a strong reputation in wealth management.
- Benefits: Enjoy hybrid working with 4 days in the office and 1 day from home.
- Why this job: This role offers a chance to influence compliance practices and work closely with senior leaders.
- Qualifications: Must have experience in compliance within a Financial Planning/IFA firm and ideally hold CII Level 4 Diploma.
- Other info: Contact Mark for a confidential chat if you need help with your CV.
The predicted salary is between 36000 - 60000 £ per year.
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 can be based out of either of the firm’s offices in Leicestershire or Cambridgeshire. They operate a 4 days in the office, 1 day working from home policy.
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 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.
Company: Well established, highly successful Financial Planning Firm
Workplace: Hybrid Working
Reference: 415218
To apply for this position, please click on ‘Apply Now’ button or email your CV together with details of your current remuneration to info@willowresourcing.co.uk quoting reference 415218 .
Willow Resourcing, 2nd Floor, 3 Brindley Place, Birmingham, B1 2JB.
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Compliance Officer – Wealth Management employer: Willow Resourcing
Contact Detail:
Willow Resourcing Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer – Wealth Management
✨Tip Number 1
Network with professionals in the financial planning and compliance sectors. Attend industry events or webinars to connect with potential colleagues and learn more about the firm’s culture and values.
✨Tip Number 2
Familiarise yourself with the latest regulations and compliance standards relevant to wealth management. Being well-versed in these areas will help you demonstrate your expertise during any discussions with the hiring team.
✨Tip Number 3
Prepare to discuss your previous experiences in compliance roles, particularly how you've engaged with senior stakeholders. Highlight specific examples where your influence led to improved compliance practices.
✨Tip Number 4
Research the firm’s approach to Consumer Duty rules and their T&C scheme. Showing that you understand their specific processes and challenges will set you apart as a candidate who is genuinely interested in the role.
We think you need these skills to ace Compliance Officer – Wealth Management
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your experience in compliance within a financial planning or IFA firm. Emphasise your qualifications, such as the CII Level 4 Diploma, and any relevant achievements that demonstrate your ability to engage with senior stakeholders.
Craft a Strong Cover Letter: Write a cover letter that specifically addresses the requirements of the Compliance Officer role. Mention your understanding of regulatory compliance and how you can contribute to maintaining robust governance standards within the firm.
Showcase Communication Skills: In your application, provide examples of your excellent communication, negotiating, and influencing skills. This could be through past experiences where you successfully managed stakeholder relationships or led compliance initiatives.
Follow Application Instructions: Ensure you follow the application instructions carefully. Submit your CV and any additional documents as specified, and include the reference number 415218 in your email subject line to ensure your application is processed correctly.
How to prepare for a job interview at Willow Resourcing
✨Understand the Compliance Landscape
Familiarise yourself with the latest regulations and compliance standards relevant to wealth management. Being able to discuss current trends and challenges in compliance will demonstrate your expertise and commitment to the role.
✨Showcase Your Stakeholder Engagement Skills
Prepare examples of how you've successfully engaged with senior stakeholders in previous roles. Highlight your communication and influencing skills, as these are crucial for working closely with the leadership team in this position.
✨Demonstrate Your Knowledge of Consumer Duty Rules
Be ready to discuss the implementation and interpretation of Consumer Duty rules. Showing that you understand these regulations and can apply them effectively will set you apart from other candidates.
✨Prepare for Scenario-Based Questions
Anticipate questions that may ask how you would handle specific compliance scenarios or challenges. Practising your responses will help you articulate your thought process and problem-solving abilities during the interview.