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- Tasks: Guide and advise on compliance while collaborating with stakeholders and clients.
- Company: Join a leading tech services provider in wealth management globally.
- Benefits: Competitive salary of £75k and opportunities for professional growth.
- Why this job: Make an impact by ensuring compliance and shaping business practices.
- Qualifications: Strong knowledge of regulatory compliance and previous advisory experience required.
- Other info: Professional qualifications are a plus; apply for a detailed role breakdown!
The predicted salary is between 60000 - 84000 £ per year.
Regulatory Advisory (Compliance) Manager
Salary £75k
This position is with a renowned, market-leading provider of tech services that specialise in the wealth management and platform sectors globally.
The role is part of the 2nd Line Compliance function, but as well as providing guidance and compliance advice to the business, you would have responsibility for working with internal stakeholders and clients.
- Analyse changes to regulations and legislation that impact the business
- Advisory oversight of the business and clients to meet FCA requirements
- Work with SMEs business-wide, implementing Compliance solutions
- Provide compliance training where required
Your Profile
- Strong regulatory compliance knowledge in the following areas: COBS, SYSC, COLL, CASS
- Previous experience should include a regulatory/advisory position, ideally with an investment platform
- Ability to communicate with senior people, inside and outside of the business
- Professional qualification
For a full breakdown of the role, please apply here!
Compliance Manager employer: Broadgate
Contact Detail:
Broadgate Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager
✨Tip Number 1
Familiarize yourself with the latest FCA regulations and guidelines. Being well-versed in COBS, SYSC, COLL, and CASS will not only boost your confidence but also demonstrate your expertise during discussions with internal stakeholders.
✨Tip Number 2
Network with professionals in the compliance field, especially those who have experience in wealth management and investment platforms. Engaging with industry peers can provide valuable insights and may even lead to referrals.
✨Tip Number 3
Prepare to showcase your advisory skills by thinking of specific examples where you've successfully implemented compliance solutions or provided training. This will help you stand out as a candidate who can add immediate value.
✨Tip Number 4
Stay updated on recent changes in regulations that could impact the business. Demonstrating your proactive approach to compliance will show that you're not just reactive but also forward-thinking.
We think you need these skills to ace Compliance Manager
Some tips for your application 🫡
Understand the Role: Make sure to thoroughly read the job description for the Compliance Manager position. Understand the key responsibilities and required skills, especially in regulatory compliance areas like COBS, SYSC, COLL, and CASS.
Tailor Your CV: Customize your CV to highlight your relevant experience in regulatory compliance and advisory roles. Emphasize any previous work with investment platforms and your ability to communicate effectively with senior stakeholders.
Craft a Strong Cover Letter: Write a compelling cover letter that showcases your passion for compliance and your understanding of the regulatory landscape. Mention specific examples of how you've provided compliance advice or training in the past.
Highlight Professional Qualifications: If you have any professional qualifications related to compliance, make sure to mention them prominently in your application. This will demonstrate your commitment to the field and enhance your credibility.
How to prepare for a job interview at Broadgate
✨Show Your Regulatory Knowledge
Make sure to brush up on your knowledge of COBS, SYSC, COLL, and CASS. Be prepared to discuss how these regulations impact the business and provide examples from your previous experience.
✨Demonstrate Advisory Skills
Highlight your experience in advisory roles, especially within investment platforms. Share specific instances where you provided compliance advice and how it benefited the organization.
✨Communicate Effectively
Since the role involves working with senior stakeholders, practice articulating your thoughts clearly and confidently. Prepare to discuss how you would approach communication with both internal teams and clients.
✨Prepare for Compliance Training Questions
Be ready to talk about your experience in providing compliance training. Think of examples where you successfully trained others and how you tailored your approach to different audiences.
