Compliance Specialist

They say change is as good as a holiday and right now you could certainly do with a change of scenery.

But it's one thing to be at a career crossroads and another to find a firm that helps you take a different path. Everyone seems to want you to carry on doing what you've always done. Or to progress down the path that's expected of you.

Not here.

This business is bolstering its compliance team. And whilst you'll (ideally) have had some exposure to compliance whilst working in an IFA firm, you don't need to be an expert. With the support and guidance of the firm that's what you'll become.

You'll work with a brilliant manager who has spent years honing their leadership skills. They know that happy staff are empowered, challenged and trusted so you'll get the environment you've always wanted to work in. Learning and development is the order of the day.

As for the job itself it goes way beyond checking tick boxes.

It's a SIPP/SSAS provider that has plenty of overseas clients and requests to transfer pensions abroad. That means making sure the correct processes are followed but also investigative work. Is the transfer in the best interests of the client? Who is advising them? Where are the funds going to? Your job is to make sure risk is mitigated for the client and ultimately protect them from bad advice.

That will mean talking to clients and advisers. It will mean asking questions internally. You're there to protect the client and the business so you'll sometimes have to ask difficult questions.

That means you'll need to be inquisitive. You'll be able to ask why? but in the right way. And as you work you'll keep asking yourself - can we do this better? It's a job for people who not only want to do the right thing but help their business improve how they work.

There's plenty of variety too. They'll be the odd compliant to deal with, promotions/marketing material to sign off. Consumer Duty means a lot of ongoing evidencing/reporting so you'll become a dab hand at that too.

You'll work on a hybrid basis (3 days in Sale, 2 from home) and whilst you'll have direction from your manager you won't be micro-managed. You'll have your work/projects to do and whilst you'll regularly catch up, you'll be free to work under your own steam.

Salary is to £32,000 plus there's PMI, life assurance and a pension. It's worth noting that this isn't a firm where people are expected to work extra hours to "prove" themselves. And whether you work 8-4 or 9-5 is up to you.

Along with the learning you'll do on the job in the next few years there's support with exams. And by 2030 the head of compliance is starting a retirement plan, so long-term opportunities will come from that.

  
HERE'S WHAT YOU'LL NEED:

You'll have pensions/financial planning experience, probably in an administrative capacity. Or you might be reluctantly on the path to being a paraplanner.

You will have had some exposure to compliance in a financial planning setting and be aware of Conduct of Business rules and the FCA Handbook.

But skills can be taught, character can't. And the business will be looking for intelligent thinkers who are good communicators. People who can evidence times they've helped improve something about their company. People who have ideas. You'll be happy to ask why? But you'll have the ability to ask it in a way that develops a relationship not damages it.
  
  
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Time for a change? Click apply and we'll tell you all you need to know. If you don't have a CV don't worry, we can come to that later.

Everyone will receive a response.