Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- Tasks: Help draft policies and provide compliance advice in the finance sector.
- Company: Join a dynamic firm focused on investments and wealth management.
- Benefits: Enjoy flexible working options and opportunities for professional growth.
- Why this job: Make an impact in compliance while learning from experienced professionals.
- Qualifications: No prior experience required; just a passion for compliance and eagerness to learn.
- Other info: Perfect for students looking to kickstart their career in finance.
The predicted salary is between 36000 - 60000 £ per year.
We are looking for a compliance advisory professional who can:
- Contribute to the drafting of initial policy and procedure documentation based upon FCA rules & guidance.
- Help to map regulatory obligations to existing and new policy provisions, ensuring comprehensive coverage.
- Provide support in offering compliance advice to the business on key regulatory matters relevant to the investments, platform, and wealth management sector, under the guidance of senior team members.
- Act as an initial point of contact for basic compliance-related queries from the business, escalating more complex issues as needed.
- Assist in the review and assessment of compliance reports and regulatory deliverables, providing administrative and analytical support.
- Support the maintenance and updating of compliance policies and procedures by assisting with documentation and research.
- Monitor regulatory developments and assist senior team members in the initial assessment of their potential impact on the firm.
- Provide support on ad hoc compliance projects as directed by senior team members.
- Contribute to strengthening the firm’s compliance culture by adhering to best practices and supporting awareness initiatives.
Compliance Advisory Contractor employer: Broadgate
Contact Detail:
Broadgate Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Advisory Contractor
✨Tip Number 1
Familiarise yourself with the FCA rules and guidance relevant to the investments, platform, and wealth management sector. This knowledge will not only help you understand the compliance landscape but also demonstrate your commitment to the role during discussions.
✨Tip Number 2
Network with professionals in the compliance field, especially those who work within the financial services sector. Engaging with industry experts can provide valuable insights and may even lead to referrals or recommendations for the position.
✨Tip Number 3
Stay updated on recent regulatory developments and trends that could impact compliance practices. Being able to discuss current events and their implications during interviews will showcase your proactive approach and understanding of the role.
✨Tip Number 4
Prepare to discuss specific examples of how you've contributed to compliance initiatives in previous roles. Highlighting your analytical skills and ability to support compliance projects will make you a more attractive candidate for the Compliance Advisory Contractor position.
We think you need these skills to ace Compliance Advisory Contractor
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities of a Compliance Advisory Contractor. Familiarise yourself with FCA rules and guidance, as well as the specific compliance needs of the investments, platform, and wealth management sector.
Tailor Your CV: Highlight relevant experience in compliance advisory roles or similar positions. Emphasise your skills in drafting policy documentation, mapping regulatory obligations, and providing compliance advice. Use specific examples to demonstrate your expertise.
Craft a Strong Cover Letter: In your cover letter, express your enthusiasm for the role and how your background aligns with the company's needs. Mention your ability to support compliance projects and your commitment to strengthening compliance culture within an organisation.
Proofread Your Application: Before submitting, carefully proofread your application materials. Check for any spelling or grammatical errors, and ensure that all information is clear and concise. A polished application reflects your attention to detail, which is crucial in compliance roles.
How to prepare for a job interview at Broadgate
✨Know Your FCA Rules
Make sure you have a solid understanding of the FCA rules and guidance relevant to the role. Brush up on key regulations that impact the investments, platform, and wealth management sectors, as this will show your preparedness and expertise during the interview.
✨Demonstrate Analytical Skills
Be ready to discuss how you've previously assessed compliance reports or regulatory deliverables. Prepare examples that highlight your analytical skills and how you've contributed to policy documentation or compliance projects in the past.
✨Showcase Communication Abilities
As you'll be acting as a point of contact for compliance queries, it's essential to demonstrate your communication skills. Practice explaining complex compliance concepts in simple terms, as this will reflect your ability to support the business effectively.
✨Stay Updated on Regulatory Developments
Research recent regulatory changes and their potential impacts on the firm. Being able to discuss current events in the compliance landscape will not only impress your interviewers but also show your commitment to maintaining a strong compliance culture.
