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- Tasks: Provide regulatory advice and support to ensure compliance with FCA requirements.
- Company: Join a leading firm in Risk and Compliance with a focus on financial crime.
- Benefits: Competitive salary, professional development, and a supportive team environment.
- Why this job: Make a real difference in the financial sector while growing your compliance expertise.
- Qualifications: Experience in compliance within Wealth & Investment Management and knowledge of FCA regulations.
- Other info: Dynamic role with opportunities for career advancement and skill enhancement.
The predicted salary is between 36000 - 60000 £ per year.
As the Compliance Advisory Associate, you will be working with the wider Risk & Compliance team to help the business meet the requirements of the FCA and other relevant regulators.
Key Responsibilities
- Provide advice, training, and guidance to the business on regulatory matters.
- Work on regulatory horizon scanning and anticipate upcoming regulatory changes.
- Support the review of Financial Promotions.
- Assist in determining the relevance and impact of regulatory change and provide practical support on the implementation of any necessary changes.
- Manage ad hoc regulatory queries from the business.
Experience & Qualifications
- Previous experience in a similar Compliance role within Wealth & Investment Management.
- Detailed, current technical knowledge of the FCA Handbook (Consumer Duty, SYSC, COBS, SMCR) and other relevant regimes.
- Strong attention to detail.
Compliance Advisory Associate in London employer: Broadgate
Contact Detail:
Broadgate Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Advisory Associate in London
✨Tip Number 1
Network like a pro! Reach out to people in the industry, especially those already working at Broadgate. A friendly chat can give you insider info and maybe even a referral!
✨Tip Number 2
Prepare for the interview by brushing up on your FCA knowledge. Make sure you can discuss recent regulatory changes and how they impact the business. Show us you’re on top of your game!
✨Tip Number 3
Practice your answers to common compliance questions. Think about how you would handle specific regulatory scenarios. We want to see your problem-solving skills in action!
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets seen. Plus, it shows you’re serious about joining the team at Broadgate.
We think you need these skills to ace Compliance Advisory Associate in London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Advisory Associate role. Highlight your previous experience in compliance and any relevant qualifications that match the job description. We want to see how your skills align with what we're looking for!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how your background makes you a great fit for our team. Keep it concise but engaging – we love a good story!
Show Off Your Attention to Detail: In compliance, attention to detail is key. Make sure your application is free from typos and errors. We appreciate candidates who take the time to double-check their work, so show us you’re one of them!
Apply Through Our Website: We encourage you to apply through our website for the best chance of getting noticed. It’s super easy and ensures your application goes straight to us. Plus, we can’t wait to see what you bring to the table!
How to prepare for a job interview at Broadgate
✨Know Your Regulations
Make sure you brush up on the FCA Handbook and other relevant regulations like Consumer Duty and SMCR. Being able to discuss these in detail will show that you're not just familiar with them, but that you can apply this knowledge practically.
✨Prepare Real-World Examples
Think of specific instances from your previous roles where you've provided compliance advice or handled regulatory changes. This will help you demonstrate your experience and how you can add value to the team at Broadgate.
✨Stay Ahead of Regulatory Changes
Show your proactive side by researching upcoming regulatory changes. Bring insights to the interview about how these might impact the business and be ready to discuss how you would support the implementation of necessary changes.
✨Ask Insightful Questions
Prepare thoughtful questions about the company's approach to compliance and risk management. This not only shows your interest in the role but also gives you a chance to assess if the company aligns with your values and career goals.
