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- Tasks: Help draft policies and provide compliance advice in the finance sector.
- Company: Join a dynamic firm focused on investments and wealth management.
- Benefits: Enjoy flexible working options and opportunities for professional growth.
- Why this job: Gain hands-on experience in compliance while contributing to a strong culture.
- Qualifications: No prior experience needed; just a passion for compliance and learning.
- Other info: Perfect for students looking to kickstart their career in finance.
The predicted salary is between 36000 - 60000 £ per year.
We are looking for a compliance advisory professional who can:
- Contribute to the drafting of initial policy and procedure documentation based upon FCA rules & guidance.
- Help to map regulatory obligations to existing and new policy provisions, ensuring comprehensive coverage.
- Provide support in offering compliance advice to the business on key regulatory matters relevant to the investments, platform, and wealth management sector, under the guidance of senior team members.
- Act as an initial point of contact for basic compliance-related queries from the business, escalating more complex issues as needed.
- Assist in the review and assessment of compliance reports and regulatory deliverables, providing administrative and analytical support.
- Support the maintenance and updating of compliance policies and procedures by assisting with documentation and research.
- Monitor regulatory developments and assist senior team members in the initial assessment of their potential impact on the firm.
- Provide support on ad hoc compliance projects as directed by senior team members.
- Contribute to strengthening the firm’s compliance culture by adhering to best practices and supporting awareness initiatives.
Compliance Advisory Contractor employer: Broadgate
Contact Detail:
Broadgate Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Advisory Contractor
✨Tip Number 1
Familiarise yourself with the FCA rules and guidance relevant to the investments, platform, and wealth management sector. This knowledge will not only help you understand the compliance landscape but also demonstrate your commitment and expertise during discussions with our team.
✨Tip Number 2
Network with professionals in the compliance field, especially those who have experience in the financial services sector. Engaging with industry peers can provide valuable insights and may even lead to referrals or recommendations for your application.
✨Tip Number 3
Stay updated on recent regulatory developments and trends affecting compliance in the financial sector. Being able to discuss current events and their implications during your interactions with us will showcase your proactive approach and genuine interest in the role.
✨Tip Number 4
Prepare to discuss specific examples of how you've contributed to compliance projects or initiatives in the past. Highlighting your analytical skills and ability to support policy development will make you stand out as a candidate who can add value to our compliance team.
We think you need these skills to ace Compliance Advisory Contractor
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities of a Compliance Advisory Contractor. Familiarise yourself with FCA rules and guidance, as well as the specific compliance needs of the investments, platform, and wealth management sector.
Tailor Your CV: Highlight relevant experience in compliance advisory roles, particularly any work related to policy drafting, regulatory mapping, or compliance reporting. Use specific examples that demonstrate your ability to provide compliance advice and support.
Craft a Strong Cover Letter: In your cover letter, express your enthusiasm for the role and how your skills align with the job requirements. Mention your understanding of compliance culture and your commitment to adhering to best practices, as well as any relevant projects you've worked on.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter 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 FCA Rules
Make sure you have a solid understanding of the FCA rules and guidance relevant to the role. Brush up on key regulations that impact the investments, platform, and wealth management sectors, as this will demonstrate your expertise and readiness to contribute.
✨Prepare for Compliance Queries
Anticipate common compliance-related queries that might arise in the business. Think about how you would respond to these questions and be ready to discuss your approach to escalating more complex issues when necessary.
✨Showcase Analytical Skills
Be prepared to discuss your experience with reviewing compliance reports and regulatory deliverables. Highlight any analytical skills you possess that would help in assessing these documents effectively, as this is crucial for the role.
✨Demonstrate a Compliance Culture Mindset
Express your commitment to fostering a strong compliance culture within the firm. Share examples of how you've contributed to compliance awareness initiatives in the past, as this aligns with the company's goals.
