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- Tasks: Support regulatory compliance and manage data protection, breaches, and complaints.
- Company: Join a dynamic team in Rochester, Kent, focused on compliance and risk management.
- Benefits: Enjoy hybrid working, with three days in the office after probation.
- Why this job: Make a real impact by ensuring regulatory adherence and shaping internal policies.
- Qualifications: 2+ years of compliance experience, ideally in wealth management, with strong FCA knowledge.
- Other info: Perfect for those looking to grow in a supportive and collaborative environment.
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 (e.g. COBS, SMCR, code of conduct etc)
- ~Understanding of consumer duty
- ~ICA or similar compliance qualifications ideal
Compliance & Risk Officer Compliance & Risk Officer employer: Broadgate
Contact Detail:
Broadgate Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance & Risk Officer Compliance & Risk 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 boost your confidence during interviews but also demonstrate your commitment to staying updated in the field.
✨Tip Number 2
Network with professionals in the compliance and risk sector, particularly those who have experience in wealth management. Attend industry events or join online forums to gain insights and potentially get referrals that could help you land the job.
✨Tip Number 3
Prepare to discuss specific examples of how you've handled compliance issues in the past. Think about instances where you've logged breaches, processed DSARs, or created internal policies, 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 will set you apart from other candidates and highlight your suitability for the Compliance & Risk Officer position.
We think you need these skills to ace Compliance & Risk Officer Compliance & Risk Officer
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your compliance experience, especially in wealth management or financial planning. Emphasise your knowledge of FCA regulations and any relevant qualifications like ICA.
Craft a Strong Cover Letter: In your cover letter, explain why you're interested in the Compliance & Risk Officer role. Mention specific experiences that demonstrate your ability to handle data protection, breach management, and regulatory reporting.
Showcase Relevant Skills: Clearly outline your skills related to the key responsibilities listed in the job description. For example, discuss your experience with Data Subject Access Requests (DSARs) and how you've contributed to policy creation and review.
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 in compliance roles.
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 consumer duty, 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 Questions
Have thoughtful questions ready for your interviewers. This shows your interest in the role and helps you understand the company's compliance culture better. Ask about their approach to regulatory changes or how they handle complaints.
