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- Tasks: Support regulatory compliance and manage data protection tasks in a dynamic environment.
- Company: Join a forward-thinking firm in Rochester, Kent, focused on compliance excellence.
- Benefits: Enjoy hybrid working, flexible hours, and opportunities for professional growth.
- Why this job: Make a real impact by ensuring compliance and shaping company policies in a supportive culture.
- Qualifications: 2+ years of compliance experience, ideally in wealth management, with strong FCA knowledge.
- Other info: Opportunity to work closely with experienced professionals and develop your career in compliance.
The predicted salary is between 36000 - 60000 £ per year.
Location: Rochester, Kent – Hybrid (3 days in office after probation)
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.
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:
- ~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
- ~ICA or similar compliance qualifications ideal
Legal Risk and Compliance Officer employer: Broadgate
Contact Detail:
Broadgate Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Legal Risk and 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 field.
✨Tip Number 2
Network with professionals in the compliance sector, particularly those who have experience in financial promotions and data protection. Engaging with industry peers can provide valuable insights and potentially lead to referrals.
✨Tip Number 3
Prepare to discuss specific examples of how you've handled compliance issues or breaches in your previous roles. Being able to articulate your problem-solving skills and regulatory knowledge will set you apart during the interview process.
✨Tip Number 4
Stay informed about recent changes in consumer duty and how they impact compliance practices. Showing that you understand these shifts will highlight your proactive approach and readiness for the role.
We think you need these skills to ace Legal Risk and Compliance Officer
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant compliance experience, particularly in wealth management or financial planning. Emphasise your knowledge of FCA regulations and any specific qualifications like ICA.
Craft a Strong Cover Letter: In your cover letter, explain why you are passionate about compliance and how your skills align with the responsibilities listed in the job description. Mention your experience with data protection and breach management.
Showcase Relevant Skills: When detailing your experience, focus on skills that match the key responsibilities, such as regulatory reporting, policy creation, and thematic reviews. Use specific examples to demonstrate your expertise.
Proofread Your Application: Before submitting, carefully proofread your application for any spelling or grammatical errors. A polished application reflects your attention to detail, which is crucial for a Compliance Officer role.
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, SMCR, and the code of conduct, as these will likely come up during your interview.
✨Showcase Your Experience
Be prepared to discuss your previous compliance experience, especially in wealth management or financial planning. Highlight specific examples where you've successfully navigated regulatory challenges.
✨Demonstrate Analytical Skills
Since the role involves breach management and thematic reviews, be ready to talk about how you approach data analysis and problem-solving. Share instances where your analytical skills made a difference.
✨Prepare for Scenario Questions
Expect scenario-based questions that assess your ability to handle Data Subject Access Requests or regulatory changes. Think through potential situations and how you would respond effectively.
