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- Tasks: Support regulatory compliance and foster a compliant culture in the business.
- Company: Join a dynamic team in Rochester, focused on financial compliance and client outcomes.
- Benefits: Enjoy hybrid working, with three days in the office after probation and competitive perks.
- Why this job: Make a real impact by ensuring compliance and protecting clients' interests in a supportive environment.
- Qualifications: 2+ years of compliance experience, preferably in wealth management, with strong FCA knowledge.
- Other info: Opportunity to work closely with experienced professionals and develop your compliance skills.
The predicted salary is between 36000 - 60000 £ per year.
Location: Rochester, Kent – Hybrid (3 days in office after probation)
Reporting into - Compliance Manager
Role Overview:
Working with both the Compliance Manager and Complaints Specialist, the Compliance Officer will provide regulatory support and guidance to the business to ensure regulatory obligations are met. The role focuses on fostering a compliant culture, client outcome focus, and compliance with regulatory requirements, including data protection, breach management, financial crime investigation, and regulatory reporting.
Key Responsibilities:
- Data Protection: Process Data Subject Access Requests (DSARs).
- Breach Management: Log, investigate, and analyse breaches.
- Horizon Scanning: Monitor and report on regulatory changes.
- Financial Promotions: Review marketing materials for compliance.
- Regulatory Reporting: Assist with regulatory requests.
- Policies: Create and review internal policies.
- Management Information: Gather data to demonstrate regulatory adherence.
- Thematic Reviews: Support thematic reviews as needed.
- Complaints Support: Log complaints and prepare files for the Ombudsman.
Skills & Knowledge:
Must Have:
- 2+ years' compliance experience
- Preferably worked in wealth management/financial planning
- Strong knowledge of FCA regulations and handbook (eg. COBS, SMCR, code of conduct etc)
- Understanding of consumer duty
Desirable:
- Experience in pensions or thematic reviews.
- ICA or similar compliance qualifications.
- Level 4 Diploma in Financial Planning.
Compliance Officer employer: Broadgate
Contact Detail:
Broadgate Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer
✨Tip Number 1
Familiarise yourself with the latest FCA regulations and guidelines, especially those relevant to wealth management and financial planning. This will not only help you in interviews but also demonstrate your commitment to staying updated in the compliance field.
✨Tip Number 2
Network with professionals in the compliance sector, particularly those who have experience in financial services. Attend industry events or join online forums to gain insights and potentially get referrals that could lead to job opportunities.
✨Tip Number 3
Prepare to discuss specific examples of how you've handled compliance issues in the past. Think about situations where you successfully managed data protection requests or dealt with breaches, as these experiences will be highly relevant to the role.
✨Tip Number 4
Showcase your understanding of consumer duty and how it impacts compliance practices. Being able to articulate this knowledge during discussions will set you apart from other candidates and highlight your suitability for the role.
We think you need these skills to ace Compliance Officer
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your compliance experience, especially in areas like data protection and financial crime investigation. Use specific examples that demonstrate your understanding of FCA regulations and how you've applied them in previous roles.
Craft a Strong Cover Letter: In your cover letter, express your passion for compliance and detail how your skills align with the responsibilities outlined in the job description. Mention your experience with regulatory reporting and breach management to show you’re a perfect fit for the role.
Highlight Relevant Qualifications: If you have any compliance qualifications such as ICA or a Level 4 Diploma in Financial Planning, make sure to mention these prominently in your application. This will help demonstrate your commitment to the field and your expertise.
Showcase Your Knowledge of Regulations: Demonstrate your knowledge of relevant regulations, such as COBS and SMCR, in your application. You could include a brief example of how you've navigated these regulations in past roles, which will show your capability to handle the responsibilities of the Compliance Officer position.
How to prepare for a job interview at Broadgate
✨Know Your Regulations
Make sure you have a solid understanding of FCA regulations and the handbook. Brush up on key areas like COBS and SMCR, as well as consumer duty. Being able to discuss these confidently will show your expertise in compliance.
✨Demonstrate Relevant Experience
Prepare examples from your previous roles that highlight your compliance experience, especially in wealth management or financial planning. Be ready to discuss specific situations where you successfully managed data protection or breach investigations.
✨Showcase Your Analytical Skills
The role involves monitoring regulatory changes and conducting thematic reviews. Be prepared to discuss how you've approached similar tasks in the past, including any tools or methods you used to gather and analyse data effectively.
✨Prepare for Scenario Questions
Expect scenario-based questions that assess your problem-solving skills in compliance situations. Think about how you would handle a data breach or a complaint, and be ready to articulate your thought process clearly.
