Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- Tasks: Conduct audits, review client files, and provide compliance support.
- Company: Join a leading financial services network committed to consumer outcomes.
- Benefits: Enjoy a supportive work culture with opportunities for professional growth.
- Why this job: Make a real impact in compliance while developing your skills in a dynamic environment.
- Qualifications: Strong knowledge of FCA rules and experience in compliance monitoring required.
- Other info: Ideal for those pursuing or holding a compliance qualification.
The predicted salary is between 43200 - 72000 £ per year.
An established financial services network is seeking a Compliance Supervisor to support regulatory oversight, promote a strong compliance culture, and help ensure firms deliver good consumer outcomes. The role involves audit work, file reviews, technical support, and regulatory guidance.
Responsibilities:
- Conduct risk-based compliance audits
- Review client files for suitability and regulatory adherence
- Approve financial promotions and support firms with advertising standards
- Provide compliance and technical support to advisers
- Handle complaints fairly and assist with root cause analysis
- Conduct due diligence on providers and assist with regulatory projects
- Act as a key contact for field staff and advisers
Requirements:
- Strong knowledge of FCA rules (COBS, SUP, DISP)
- Experience in compliance monitoring and adviser support
- Compliance qualification
- Clear communication, strong judgment, and a flexible approach
- Certificate in Financial Planning (CII or equivalent), diploma preferred or in progress
Compliance Monitoring Manager (Regulatory) employer: Broadgate
Contact Detail:
Broadgate Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Monitoring Manager (Regulatory)
✨Tip Number 1
Familiarise yourself with the latest FCA rules, especially COBS, SUP, and DISP. This knowledge will not only help you in interviews but also demonstrate your commitment to compliance and regulatory standards.
✨Tip Number 2
Network with professionals in the financial services sector, particularly those involved in compliance. Attend industry events or join relevant online forums to gain insights and make connections that could lead to job opportunities.
✨Tip Number 3
Prepare to discuss real-life scenarios where you've successfully handled compliance issues or audits. Having concrete examples ready will showcase your experience and problem-solving skills during the interview.
✨Tip Number 4
Stay updated on current trends and changes in financial regulations. Being knowledgeable about recent developments will position you as a proactive candidate who is genuinely interested in the field of compliance.
We think you need these skills to ace Compliance Monitoring Manager (Regulatory)
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities of a Compliance Monitoring Manager. Familiarise yourself with FCA rules and the specific requirements mentioned in the job description.
Tailor Your CV: Highlight your relevant experience in compliance monitoring and adviser support. Make sure to include any compliance qualifications and your knowledge of FCA rules, as these are crucial for this role.
Craft a Compelling Cover Letter: Use your cover letter to demonstrate your understanding of regulatory oversight and your commitment to promoting a strong compliance culture. Share specific examples of how you've successfully handled compliance issues in the past.
Proofread Your Application: Before submitting, carefully proofread your application materials. Ensure there are no spelling or grammatical errors, and that your documents are clear and professional. A polished application reflects your attention to detail.
How to prepare for a job interview at Broadgate
✨Know Your FCA Rules
Make sure you have a solid understanding of the FCA rules, especially COBS, SUP, and DISP. Brush up on these regulations before the interview, as demonstrating your knowledge will show that you're serious about compliance and can hit the ground running.
✨Prepare for Scenario Questions
Expect to be asked about specific compliance scenarios or challenges you've faced in the past. Prepare examples that highlight your problem-solving skills and how you handled regulatory issues effectively.
✨Showcase Your Communication Skills
As a Compliance Supervisor, clear communication is key. Be ready to discuss how you've communicated complex compliance information to advisers or field staff in the past. Practice articulating your thoughts clearly and confidently.
✨Demonstrate Your Flexibility
The role requires a flexible approach, so be prepared to discuss times when you've adapted to changing regulations or client needs. Highlight your ability to pivot and find solutions in dynamic environments.
