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- Tasks: Lead compliance efforts and ensure regulatory standards are met in a dynamic financial planning firm.
- Company: Join a well-established and successful financial planning firm with a collaborative culture.
- Benefits: Enjoy hybrid working, competitive salary, and opportunities for professional growth.
- Other info: Flexible working policy with 4 days in the office and 1 day from home.
- Why this job: Make a real impact on compliance while developing your career in a supportive environment.
- Qualifications: Experience in compliance within a financial planning firm and strong communication skills.
The predicted salary is between 40000 - 50000 £ per year.
Looking to be the Compliance lead for a 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 updates 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 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
Compliance Officer – Wealth Management in Peterborough employer: Willow Resourcing
Contact Detail:
Willow Resourcing Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer – Wealth Management in Peterborough
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial planning sector and let them know you're on the lookout for a Compliance Officer role. You never know who might have the inside scoop on opportunities that aren't even advertised yet.
✨Tip Number 2
Prepare for those interviews by brushing up on your knowledge of compliance regulations and the Consumer Duty rules. We want you to be able to discuss how you can influence compliance across the business confidently!
✨Tip Number 3
Don’t forget to showcase your experience with senior stakeholders during interviews. Highlight specific examples where you've successfully engaged and influenced decision-making – this is key for a Compliance Officer role!
✨Tip Number 4
Finally, apply through our website! It’s the best way to ensure your application gets seen by the right people. Plus, it shows you're serious about joining a well-established firm like this one.
We think you need these skills to ace Compliance Officer – Wealth Management in Peterborough
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Officer role. Highlight your experience in financial planning and compliance, and don’t forget to mention any relevant qualifications like the CII Level 4 Diploma. We want to see how you fit into our world!
Showcase Your Skills: In your application, emphasise your communication, negotiating, and influencing skills. These are key for working with senior leadership and ensuring compliance across the business. Let us know how you've used these skills in past roles!
Be Clear and Concise: When writing your application, keep it clear and to the point. We appreciate straightforwardness, so avoid jargon and make sure your key points stand out. This will help us see your strengths quickly!
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It’s the best way to ensure your application gets to the right people. Plus, it shows you’re keen on joining our team!
How to prepare for a job interview at Willow Resourcing
✨Know Your Compliance Stuff
Make sure you brush up on the latest compliance regulations, especially those related to Consumer Duty rules. Being able to discuss these confidently will show that you're not just familiar with the basics but are also ready to take on the responsibilities of the role.
✨Showcase Your Stakeholder Skills
Prepare examples of how you've engaged with senior stakeholders in the past. This role requires strong communication and influencing skills, so be ready to share specific instances where you've successfully navigated complex discussions or negotiations.
✨Understand the Business
Research the firm’s history, values, and recent developments. Knowing how they operate as an Appointed Representative and their approach to compliance will help you tailor your answers and demonstrate genuine interest in the company.
✨Prepare for Scenario Questions
Think about potential scenarios you might face in this role, such as handling a compliance breach or managing adviser T&C meetings. Practising your responses will help you articulate your thought process and decision-making skills during the interview.