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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 36000 - 60000 £ 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.
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 financial sector. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in a rapidly changing environment.
✨Tip Number 2
Network with professionals in the compliance field, especially those who have experience in commodity markets or front office environments. Attend industry events or join relevant online forums to build connections that could lead to valuable insights and potential referrals.
✨Tip Number 3
Prepare for the interview by practising situational questions that focus on compliance challenges. Think of specific examples from your past experiences where you successfully identified and mitigated compliance risks, as this will showcase your analytical mindset and problem-solving skills.
✨Tip Number 4
Demonstrate your proficiency in MS Office and any familiarity with trading platforms during discussions. Being able to articulate how you've used these tools in previous roles can set you apart and show that you're ready to hit the ground running.
We think you need these skills to ace Compliance Advisory Officer
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities of a Compliance Advisory Officer. Familiarise yourself with the key tasks mentioned in the job description, such as providing regulatory support and conducting risk-based reviews.
Tailor Your CV: Highlight your previous experience in compliance roles, especially within commodity markets or front office environments. Emphasise your knowledge of FCA regulations and any relevant financial products or services you've worked with.
Craft a Strong Cover Letter: Use your cover letter to showcase your analytical mindset and communication skills. Provide specific examples of how you've assessed risks and proposed solutions in past roles, demonstrating your fit for the position.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any errors. Ensure that your documents are well-organised and clearly formatted, reflecting your attention to detail, which is crucial for a Compliance Officer.
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.
