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- Tasks: Lead daily compliance activities and support the team in regulatory matters.
- Company: Join a dynamic firm focused on investment management and financial planning.
- Benefits: Enjoy a collaborative work environment with opportunities for professional growth.
- Why this job: Make a real impact by ensuring compliance and promoting ethical standards.
- Qualifications: Strong background in compliance within investment management and knowledge of UK regulations required.
- Other info: Ideal for those who thrive in a fast-paced, ever-evolving regulatory landscape.
The predicted salary is between 48000 - 72000 £ per year.
This role is to help with the day-to-day running of the Compliance operations, working closely with the Head of Compliance and other team members, to ensure the Compliance department is run efficiently, all tasks are completed in a timely manner and team projects are kept on track.
Responsibilities- Lead the delivery and management of day-to-day compliance activities.
- Provide day-to-day compliance support and advice to management, staff, and external parties within the Compliance Advisory team.
- Assist the Compliance team with the application, maintenance, and evaluation of the compliance policies and procedures.
- Promote awareness of regulatory principles and requirements and provide support for their implementation.
- Assist the Compliance team with providing advice, training, and guidance to the business on regulatory matters.
- Provide assistance in the resolution of Risk Events identified within the company.
- Assist the Compliance team with monitoring outside regulatory developments and proactively sharing.
- Strong Compliance background working within Investment Management/Financial Planning.
- Strong understanding of relevant UK regulatory requirements.
- Ability to keep up-to-date with current and future regulatory changes that affect the firm’s business and inform relevant teams of the same.
- Adhere to the ethical standards of behaviour and code of conduct issued by the FCA under the Senior Managers Regime.
- Ability to challenge in a constructive way and influence others to deliver processes and solutions in line with regulatory and best practice requirements.
Senio Compliance Manager employer: Broadgate
Contact Detail:
Broadgate Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senio Compliance Manager
✨Tip Number 1
Network with professionals in the compliance field, especially those who have experience in investment management or financial planning. Attend industry events or webinars to connect with potential colleagues and learn about the latest trends and challenges in compliance.
✨Tip Number 2
Stay updated on UK regulatory requirements by following relevant news sources and regulatory bodies. This knowledge will not only help you in interviews but also demonstrate your commitment to the role and the importance of compliance in the financial sector.
✨Tip Number 3
Prepare to discuss specific examples of how you've successfully managed compliance activities in previous roles. Highlight your ability to influence others and implement processes that align with regulatory standards, as this will be crucial for the Senior Compliance Manager position.
✨Tip Number 4
Familiarise yourself with the ethical standards and code of conduct issued by the FCA. Being able to articulate how you adhere to these principles in your work will set you apart from other candidates and show that you understand the responsibilities of a Senior Compliance Manager.
We think you need these skills to ace Senio Compliance Manager
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your strong compliance background, particularly in Investment Management or Financial Planning. Emphasise your understanding of UK regulatory requirements and any relevant experience that aligns with the responsibilities of the Senior Compliance Manager role.
Craft a Compelling Cover Letter: In your cover letter, address how your skills and experiences make you a perfect fit for the role. Mention specific examples of how you've provided compliance support, managed compliance activities, or influenced others in a regulatory context.
Showcase Your Knowledge: Demonstrate your up-to-date knowledge of current and future regulatory changes in your application. This could be through a brief mention in your CV or a dedicated section in your cover letter where you discuss recent developments in compliance that are relevant to the company.
Proofread Your Application: Before submitting your application, thoroughly proofread all documents for spelling and grammatical errors. A polished application reflects your attention to detail, which is crucial in a compliance role.
How to prepare for a job interview at Broadgate
✨Showcase Your Compliance Knowledge
Make sure to brush up on your understanding of UK regulatory requirements and recent changes in the compliance landscape. Be prepared to discuss how these regulations impact the business and demonstrate your ability to keep the team informed.
✨Demonstrate Leadership Skills
As a Senior Compliance Manager, you'll need to lead day-to-day activities. Share examples from your past experiences where you successfully managed compliance projects or led a team, highlighting your ability to keep tasks on track.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving skills in real-world compliance scenarios. Think of specific instances where you provided advice or resolved risk events, and be ready to explain your thought process and outcomes.
✨Emphasise Your Communication Skills
Effective communication is key in compliance roles. Be ready to discuss how you've trained or guided teams on regulatory matters, and provide examples of how you’ve influenced others to adhere to compliance standards.
