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- Tasks: Provide expert compliance advice and shape a scalable Compliance Operating Model.
- Company: Join a values-driven bank in an exciting growth phase.
- Benefits: Competitive pay, professional development, and a chance to make a real impact.
- Other info: Opportunity for continuous learning and career advancement.
- Why this job: Be at the forefront of regulatory compliance in a dynamic financial environment.
- Qualifications: Experience in compliance and strong stakeholder management skills.
The predicted salary is between 60000 - 80000 £ per year.
We are seeking an experienced and technically strong Senior Compliance Advisor to join a specialist financial services compliance function on a temporary basis. This is a high-impact role sitting within the second line of defence, supporting a regulated bank that is entering an ambitious growth phase. You will deliver rigorous regulatory compliance advice, drive policy development, and play a central role in shaping a scalable Compliance Operating Model - all within a values-driven organisation with real purpose at its heart.
What You'll Do
- Compliance Advisory
- Provide specialist, technical regulatory compliance advice to business stakeholders on an ongoing basis.
- Interpret and apply rules from the FCA, PRA, PSR, and other applicable regulatory bodies accurately and pragmatically.
- Support new product development, marketing review, project launches, and annual compliance reviews.
- Champion a culture of good customer outcomes, embedding the FCA's Consumer Duty requirements across the organisation.
- Compliance Policy
- Maintain and update the Bank's Compliance policy suite in line with regulatory change.
- Undertake regulatory research and gap analysis to identify and implement policy enhancements.
- Manage the document approval schedule in collaboration with compliance colleagues, ensuring committee deadlines are met.
- Compliance Projects
- Lead the assessment of the current and future state Compliance Operating Model (COM) as part of a five-year growth strategy.
- Work collaboratively with business areas to design and implement enhancements that deliver a more sustainable and scalable compliance function.
- Support the Senior Compliance Manager in planning and developing the COM alongside the wider Compliance team.
- Additional Responsibilities
- Conduct deep-dive assessments on key risk areas identified through monitoring, regulatory focus, incidents, or audit findings.
- Escalate suspected regulatory breaches promptly to the Chief Risk Officer.
- Collaborate closely with the Head of Compliance, MLRO, and Risk compliance oversight, assurance and monitoring; policy writing, development and change management.
- Proven track record in horizon scanning, regulatory risk management, and embedding conduct risk frameworks.
- Experience of compliance planning, reporting, and corporate governance.
- Ability to manage regulatory projects and work effectively with stakeholders at all seniority levels.
Skills
- Graduate or postgraduate qualifications welcomed.
- Commitment to continuous professional development (CPD) and staying current with regulatory developments.
Pre-Appointment Checks
- All appointees will be subject to the following pre-employment checks:
- Credit Check
- Sanctions Check
- Basic DBS Check (Standard DBS for FCA Approved roles)
- Employment References
- Medical Clearance
- Right to Work in the UK
Compliance Advisory Manager (Contract) employer: Broadgate
Contact Detail:
Broadgate Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Advisory Manager (Contract)
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial services sector and let them know you're on the lookout for a Compliance Advisory Manager role. You never know who might have the inside scoop on opportunities or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of FCA, PRA, and PSR regulations. We want you to be able to discuss how you've applied these rules in past roles, so think of specific examples that showcase your expertise and problem-solving skills.
✨Tip Number 3
Showcase your passion for compliance! During interviews, emphasise your commitment to good customer outcomes and how you've championed compliance culture in previous positions. This will resonate well with organisations that value purpose-driven work.
✨Tip Number 4
Don't forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who take the initiative to engage directly with us.
We think you need these skills to ace Compliance Advisory Manager (Contract)
Some tips for your application 🫡
Tailor Your Application: Make sure to customise your CV and cover letter to highlight your experience in compliance advisory. We want to see how your skills align with the specific requirements of the role, so don’t hold back on showcasing your regulatory knowledge!
Showcase Your Achievements: When detailing your past roles, focus on your achievements rather than just responsibilities. We love to see quantifiable results, so if you’ve improved compliance processes or led successful projects, make sure to shout about it!
Be Clear and Concise: Keep your application clear and to the point. We appreciate well-structured documents that are easy to read. Avoid jargon unless it’s relevant, and ensure your passion for compliance shines through without overwhelming us with unnecessary details.
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it shows you’re keen on joining our values-driven organisation!
How to prepare for a job interview at Broadgate
✨Know Your Regulations
Make sure you brush up on the FCA, PRA, and PSR regulations before your interview. Being able to discuss these rules confidently will show that you're technically strong and ready to provide the specialist compliance advice they need.
✨Showcase Your Experience
Prepare specific examples from your past roles where you've successfully managed compliance projects or developed policies. This will help demonstrate your proven track record in regulatory risk management and your ability to work with stakeholders at all levels.
✨Emphasise Collaboration
Since this role involves working closely with various teams, be ready to talk about how you've collaborated in the past. Highlight instances where you’ve worked with compliance colleagues or other departments to achieve a common goal, especially in enhancing compliance functions.
✨Demonstrate Continuous Learning
Show your commitment to continuous professional development by discussing any recent training or certifications you've completed. This will reflect your dedication to staying current with regulatory developments, which is crucial for this role.