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For Companies At a Glance
- Tasks: Support compliance governance, provide regulatory advice, and manage compliance training.
- Company: Join a leading global financial services firm known for innovation and client focus.
- Benefits: Competitive salary, opportunities for professional growth, and a dynamic work environment.
- Why this job: Be part of a team committed to regulatory excellence and impactful compliance solutions.
- Qualifications: Experience in Asset or Wealth Management with strong regulatory knowledge required.
- Other info: Ideal for those passionate about compliance and risk management in finance.
The predicted salary is between 68000 - 90000 £ per year.
We are working with a global financial services firm providing investment processing, management, and operations solutions. With a strong presence in the UK and Europe, the business is known for its innovative technology, client-focused approach, and commitment to regulatory excellence.
- Compliance Support & Governance: Support the Compliance department to ensure effective governance, internal controls, and regulatory compliance across operations.
- Regulatory Advice & Monitoring: Provide compliance advice on new regulatory developments and assist with monitoring reviews, reporting, and implementing recommendations.
- Training & Policy Development: Contribute to the development and delivery of compliance training, and assist with drafting or revising compliance policies and procedures.
- Regulatory Exams & Due Diligence: Support regulatory exams, queries, reporting, and provide compliance responses for proposals and due diligence reviews.
- Compliance Reviews & Incident Management: Review and ensure compliance of financial promotions, client communications, and contractual agreements; handle breaches and client complaints per relevant policies.
- Risk Management & Reporting: Assist with risk management, management reporting, and collaborate with other control functions to ensure coordinated compliance responses.
Your Profile:
- Background in Asset Management, Wealth Management or similar
- Full suite of regulatory experience, spanning COBS, SYSC, CASS, MiFID, SMCR & Market Abuse
- Strong communication & stakeholder engagement skills
Contact Detail:
Broadgate Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Officer
✨Tip Number 1
Familiarise yourself with the latest regulatory developments in the financial services sector. Being well-versed in COBS, SYSC, CASS, MiFID, SMCR, and Market Abuse will not only boost your confidence but also demonstrate your commitment to compliance excellence during discussions.
✨Tip Number 2
Network with professionals in the compliance field, especially those who have experience in asset and wealth management. Attend industry events or webinars to connect with potential colleagues and learn about the latest trends and challenges in compliance.
✨Tip Number 3
Prepare to discuss specific examples of how you've contributed to compliance training or policy development in your previous roles. Highlighting your hands-on experience will show that you can effectively support the Compliance department at StudySmarter.
✨Tip Number 4
Demonstrate your strong communication and stakeholder engagement skills by preparing thoughtful questions for your interviewers. This will not only showcase your interest in the role but also your ability to collaborate effectively within a team.
We think you need these skills to ace Senior Compliance Officer
Some tips for your application 🫡
Understand the Role: Take time to thoroughly read the job description for the Senior Compliance Officer position. Understand the key responsibilities and required skills, such as regulatory experience and stakeholder engagement.
Tailor Your CV: Customise your CV to highlight relevant experience in compliance, particularly in areas like asset management and regulatory frameworks. Use specific examples that demonstrate your expertise in COBS, SYSC, CASS, MiFID, SMCR, and Market Abuse.
Craft a Compelling Cover Letter: Write a cover letter that connects your background to the role. Emphasise your communication skills and how you can contribute to compliance training and policy development. Make it personal and engaging to stand out.
Proofread and Edit: Before submitting your application, carefully proofread your documents. Check for spelling and grammatical errors, and ensure that your information is clear and concise. A polished application reflects your attention to detail.
How to prepare for a job interview at Broadgate
✨Know Your Regulations
Familiarise yourself with the key regulations relevant to the role, such as COBS, SYSC, CASS, MiFID, SMCR, and Market Abuse. Being able to discuss these confidently will demonstrate your expertise and understanding of the compliance landscape.
✨Showcase Your Communication Skills
As a Senior Compliance Officer, strong communication is crucial. Prepare examples of how you've effectively engaged with stakeholders in the past, whether through training sessions or policy development, to illustrate your ability to convey complex information clearly.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving skills in real-world compliance scenarios. Think about past experiences where you handled breaches or client complaints, and be ready to explain your thought process and the outcomes.
✨Demonstrate Your Risk Management Acumen
Be prepared to discuss your experience with risk management and reporting. Highlight any specific tools or methodologies you've used, and how you've collaborated with other functions to ensure comprehensive compliance responses.
