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For Companies At a Glance
- Tasks: Oversee compliance audits, review client files, and provide regulatory guidance.
- 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 36000 - 60000 £ 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 Supervisor employer: Broadgate
Contact Detail:
Broadgate Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Supervisor
✨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.
✨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 build 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.
✨Tip Number 4
Research StudySmarter's values and culture to align your approach during the interview. Showing that you understand and resonate with our mission can set you apart from other candidates.
We think you need these skills to ace Compliance Supervisor
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance monitoring and regulatory guidance. Use specific examples that demonstrate your knowledge of FCA rules and your ability to conduct audits.
Craft a Compelling Cover Letter: In your cover letter, express your passion for promoting a strong compliance culture. Mention how your skills align with the responsibilities listed in the job description, such as handling complaints and providing technical support.
Showcase Relevant Qualifications: Clearly list any compliance qualifications you hold, such as a Certificate in Financial Planning or equivalent. If you're currently pursuing a diploma, mention this to show your commitment to professional development.
Proofread Your Application: Before submitting, carefully proofread your application for any spelling or grammatical errors. A polished application reflects your attention to detail, which is crucial for a Compliance Supervisor role.
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. Be prepared to discuss how these regulations impact compliance and consumer outcomes in your previous roles.
✨Demonstrate Your Audit Experience
Highlight your experience with risk-based compliance audits. Share specific examples of audits you've conducted, what you learned from them, and how they improved compliance within your previous organisation.
✨Showcase Your Communication Skills
As a Compliance Supervisor, clear communication is key. Prepare to discuss how you've effectively communicated compliance requirements to advisers and field staff, and how you handle complaints and root cause analysis.
✨Prepare for Technical Questions
Expect technical questions related to compliance monitoring and adviser support. Brush up on your knowledge of financial promotions and advertising standards, and be ready to provide insights on how you've navigated these areas in the past.
