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- Tasks: Support regulatory compliance and foster a compliant culture in a dynamic environment.
- Company: Join a forward-thinking firm in Rochester, Kent, focused on client outcomes and regulatory excellence.
- Benefits: Enjoy hybrid working, professional development opportunities, and a supportive team culture.
- Why this job: Make a real impact by ensuring compliance and protecting clients while growing your career.
- Qualifications: 2+ years of compliance experience, preferably in wealth management, with strong FCA knowledge.
- Other info: Opportunity to work closely with experienced professionals and contribute to meaningful projects.
The predicted salary is between 36000 - 60000 £ per year.
Location: Rochester, Kent – Hybrid (3 days in office after probation)
Reporting into: Compliance Manager
Role Overview: 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. The role focuses on fostering a compliant culture, client outcome focus, and compliance with regulatory requirements, including data protection, breach management, financial crime investigation, and regulatory reporting.
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:
Must Have: 2+ years' compliance experience, preferably worked in wealth management/financial planning, strong knowledge of FCA regulations and handbook (e.g. COBS, SMCR, code of conduct etc), understanding of consumer duty.
Desirable: Experience in pensions or thematic reviews, ICA or similar compliance qualifications, Level 4 Diploma in Financial Planning.
Locations
Compliance Officer employer: Broadgate
Contact Detail:
Broadgate Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance 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 financial services. 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 compliance issues in the past. Think about situations where you managed data protection requests or dealt with breaches, as these experiences will be crucial in showcasing your expertise.
✨Tip Number 4
Research StudySmarter's values and culture to align your responses during the interview. Understanding our mission and how compliance plays a role in achieving it can set you apart from other candidates.
We think you need these skills to ace Compliance Officer
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your compliance experience, especially in wealth management or financial planning. Emphasise your knowledge of FCA regulations and any relevant qualifications like the ICA or Level 4 Diploma in Financial Planning.
Craft a Strong Cover Letter: In your cover letter, explain why you are passionate about compliance and how your skills align with the responsibilities listed in the job description. Mention specific experiences that demonstrate your ability to handle data protection, breach management, and regulatory reporting.
Showcase Relevant Skills: When detailing your experience, focus on your understanding of consumer duty and your ability to create and review internal policies. Use examples that illustrate your analytical skills and attention to detail, particularly in logging and investigating breaches.
Proofread Your Application: Before submitting, carefully proofread your application for any spelling or grammatical errors. A polished application reflects your professionalism and attention to detail, which are crucial in a compliance role.
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 and SMCR, as well as consumer duty. Being able to discuss these confidently will show your expertise in compliance.
✨Prepare for Scenario Questions
Expect questions that ask how you would handle specific compliance scenarios, such as breach management or data protection issues. Think of examples from your past experience where you successfully navigated similar challenges.
✨Showcase Your Analytical Skills
As a Compliance Officer, you'll need to analyse data and report on regulatory adherence. Be ready to discuss how you've gathered and interpreted data in previous roles, and how it contributed to compliance efforts.
✨Demonstrate a Client-Focused Mindset
Highlight your commitment to client outcomes during the interview. Discuss how you ensure compliance while also considering the best interests of clients, especially when reviewing financial promotions or handling complaints.
