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- Tasks: Lead compliance efforts and ensure regulatory integrity in a dynamic financial planning firm.
- Company: Join a growing financial planning firm dedicated to client-centric outcomes and regulatory excellence.
- Benefits: Enjoy a supportive work culture with opportunities for professional growth and development.
- Why this job: Shape company culture while making a real impact on compliance and client satisfaction.
- Qualifications: 1+ years in retail compliance, strong understanding of FCA regulations, and excellent analytical skills.
- Other info: Opportunity to influence best practices and engage in meaningful compliance training.
The predicted salary is between 36000 - 60000 £ per year.
Step into a role where your insights shape culture, not just checklists. I am currently partnering with a growing financial planning firm seeking a Compliance Officer who’s ready to lead on best practice, challenge constructively, and keep regulatory integrity front and centre. You'll be trusted to advise, influence, and help the firm scale with confidence.
Key Responsibilities:
- Operate as part of the 2nd line Compliance function, supporting a culture of regulatory integrity and client-centric outcomes
- Deliver expert regulatory guidance and support across all business functions
- Manage and respond to data protection requests, including Data Subject Access Requests (DSARs)
- Log, investigate, and conduct root cause analysis of compliance breaches
- Perform horizon scanning to identify, monitor, and report on relevant regulatory developments
- Conduct KYC due diligence reviews and investigate referrals from business units
- Review and approve financial promotions, marketing collateral, and client-facing materials to ensure regulatory compliance
- Assist in the preparation and submission of regulatory reports and information requests
- Promote compliance awareness through staff engagement, training, and communications
- Develop, maintain, and review internal compliance policies in line with evolving regulatory requirements
- Compile and present Management Information (MI) to demonstrate compliance with applicable regulations and support client outcome monitoring
- Participate in thematic reviews, depending on skills and experience
- Oversee the administration of the Senior Managers & Certification Regime (SM&CR), including certification and associated governance processes
What You Bring:
- At least 1 year of experience in a retail compliance role within financial services
- Solid understanding of FCA regulations and regulatory expectations
- Strong focus on delivering positive client outcomes
- Practical, solution-oriented mindset with the ability to interpret and apply regulatory requirements effectively
- Well-developed investigative and decision-making skills, supported by sound judgment
- Strong analytical and problem-solving capabilities
- Skilled at translating complex regulatory concepts into clear, understandable guidance for diverse audiences
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 compliance frameworks. This will not only help you understand the role better but also allow you to engage in informed discussions during interviews.
✨Tip Number 2
Network with professionals in the compliance field, especially those working in financial services. 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 navigated compliance challenges. Being able to share specific examples will demonstrate your practical experience and problem-solving skills to potential employers.
✨Tip Number 4
Stay updated on current trends and changes in the regulatory landscape. Showing that you're proactive about continuous learning can set you apart from other candidates and highlight your commitment to the role.
We think you need these skills to ace Compliance Officer
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities of a Compliance Officer. Familiarise yourself with the key tasks mentioned in the job description, such as managing data protection requests and conducting KYC due diligence reviews.
Tailor Your CV: Highlight your relevant experience in retail compliance within financial services. Emphasise your understanding of FCA regulations and any specific achievements that demonstrate your ability to deliver positive client outcomes.
Craft a Compelling Cover Letter: Use your cover letter to showcase your practical, solution-oriented mindset. Explain how your investigative skills and sound judgment can contribute to the firm's regulatory integrity and client-centric culture.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any errors or inconsistencies. A polished application reflects your attention to detail, which is crucial for a Compliance Officer role.
How to prepare for a job interview at Broadgate
✨Know Your Regulations
Make sure you have a solid understanding of FCA regulations and how they apply to the role. Brush up on recent regulatory changes and be prepared to discuss how these might impact the firm.
✨Showcase Your Problem-Solving Skills
Be ready to provide examples of how you've tackled compliance issues in the past. Highlight your investigative skills and decision-making process, as these are crucial for a Compliance Officer.
✨Demonstrate Client-Centric Thinking
Emphasise your focus on delivering positive client outcomes. Share experiences where you’ve balanced compliance with client needs, showcasing your ability to influence and advise effectively.
✨Prepare for Scenario Questions
Expect scenario-based questions that test your ability to handle compliance breaches or data protection requests. Think through your approach to these situations and how you would communicate your findings.
