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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: Opportunity to work closely with experienced professionals and develop your career.
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
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 help you in interviews but also demonstrate your commitment to staying updated in the compliance field.
✨Tip Number 2
Network with professionals in the compliance 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 lead to job opportunities.
✨Tip Number 3
Prepare to discuss specific examples of how you've handled data protection and breach management in your previous roles. Being able to articulate your hands-on experience will set you apart from other candidates.
✨Tip Number 4
Showcase your analytical skills by being ready to discuss how you've gathered and presented management information in past positions. Highlighting your ability to demonstrate regulatory adherence through data will be a key asset in your application.
We think you need these skills to ace Compliance & Risk Officer Compliance & Risk Officer
Some tips for your application 🫡
Understand the Role: Thoroughly read the job description for the Compliance & Risk Officer position. Make sure you understand the key responsibilities and required skills, especially regarding FCA regulations and compliance experience.
Tailor Your CV: Customise your CV to highlight relevant experience in compliance, particularly in wealth management or financial planning. Emphasise your knowledge of FCA regulations and any compliance qualifications you hold.
Craft a Compelling Cover Letter: Write a cover letter that connects your experience with the specific responsibilities listed in the job description. Mention your familiarity with data protection, breach management, and regulatory reporting to demonstrate your fit for the role.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any spelling or grammatical errors. A polished application reflects 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 any relevant experiences that showcase your analytical abilities.
✨Prepare Questions
Think of insightful questions to ask about the company's compliance culture and how they handle regulatory changes. This shows your genuine interest in the role and helps you assess if it's the right fit for you.
