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For Companies At a Glance
- Tasks: Advise on regulations, conduct reviews, and support investigations in a fast-paced environment.
- Company: Join a leading firm committed to regulatory excellence in the financial sector.
- Benefits: Enjoy competitive pay, flexible working options, and opportunities for professional growth.
- Why this job: Be part of a dynamic team that values compliance and fosters a supportive culture.
- Qualifications: Experience in compliance, strong knowledge of FCA regulations, and excellent communication skills required.
- Other info: Ideal for detail-oriented individuals looking to make an impact in financial compliance.
The predicted salary is between 48000 - 72000 £ per year.
Location: London, UK
Department: Compliance – Advisory
Reporting to: Head of Compliance Advisory
Jurisdictional Coverage: UK
Are you an experienced compliance professional with a strong understanding of financial regulations and a keen eye for detail? We are looking for a Compliance Officer to join our dynamic Compliance Advisory team and help us ensure regulatory excellence across our UK operations.
About the Role:
As a Compliance Officer, you'll play a critical role in advising the front office and business units on regulatory requirements, conducting thematic and desk-based reviews, and supporting internal investigations. You’ll be at the heart of ensuring our regulatory obligations are met while helping to foster a culture of compliance.
Key Responsibilities:
- Provide regulatory support and guidance to internal stakeholders.
- Conduct risk-based regulatory reviews and contribute to the Compliance Monitoring Programme.
- Produce detailed reports, track issues, and ensure timely remediation.
- Liaise with front office teams and other departments to identify and mitigate compliance risks.
- Support the delivery of Market Abuse training and monitoring activities.
- Assist with regulatory registrations and market abuse surveillance.
- Contribute to internal and external investigations as required.
- Provide input into risk assessments and support the broader Compliance Risk Management Framework.
What We're Looking For:
- Previous experience in a Compliance role, preferably within commodity markets or a front office environment.
- Strong working knowledge of FCA regulations and financial products/services.
- Analytical mindset with the ability to assess risks and propose solutions.
- Excellent communication and report writing skills.
- Organised, detail-oriented, and capable of working independently or as part of a team.
- Proficiency in MS Office; familiarity with trading platforms (e.g. Bloomberg, Fidessa) is a plus.
Compliance Advisory Officer employer: BGC Group
Contact Detail:
BGC Group Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Advisory Officer
✨Tip Number 1
Familiarise yourself with the latest FCA regulations and compliance frameworks relevant to the role. 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, especially those who have experience in commodity markets or front office environments. Engaging with them can provide insights into the role and may even lead to referrals.
✨Tip Number 3
Prepare to discuss specific examples of how you've successfully identified and mitigated compliance risks in previous roles. Real-life scenarios can showcase your analytical mindset and problem-solving skills effectively.
✨Tip Number 4
Brush up on your report writing skills, as producing detailed reports is a key responsibility. Consider creating sample reports based on hypothetical compliance scenarios to demonstrate your ability during discussions.
We think you need these skills to ace Compliance Advisory Officer
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance, particularly within financial regulations and commodity markets. Use specific examples that demonstrate your analytical skills and understanding of FCA regulations.
Craft a Compelling Cover Letter: In your cover letter, express your enthusiasm for the Compliance Officer role and how your background aligns with the key responsibilities. Mention your experience in conducting regulatory reviews and supporting internal investigations.
Showcase Communication Skills: Since excellent communication is crucial for this role, ensure your application reflects your ability to convey complex information clearly. Consider including examples of reports you've written or training sessions you've conducted.
Highlight Relevant Tools and Technologies: If you have experience with MS Office or trading platforms like Bloomberg or Fidessa, make sure to mention this in your application. This will demonstrate your technical proficiency and readiness for the role.
How to prepare for a job interview at BGC Group
✨Know Your Regulations
Make sure you have a solid understanding of FCA regulations and financial products. Brush up on recent changes in compliance laws, as this will show your commitment to staying informed and your ability to advise effectively.
✨Demonstrate Analytical Skills
Prepare to discuss how you've assessed risks in previous roles. Use specific examples to illustrate your analytical mindset and how you've proposed solutions to compliance issues.
✨Showcase Communication Skills
Since the role involves liaising with various teams, practice articulating complex compliance concepts clearly. Be ready to provide examples of how you've communicated regulatory requirements to non-compliance staff.
✨Be Detail-Oriented
Highlight your organisational skills and attention to detail during the interview. Discuss how you manage reports and track compliance issues, as this is crucial for the role.
