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For Companies At a Glance
- Tasks: Support compliance governance, provide regulatory advice, and assist with training and policy development.
- Company: Join a leading global financial services firm known for innovation and client focus.
- Benefits: Competitive salary, opportunities for professional growth, and a dynamic work environment.
- Why this job: Be part of a team committed to regulatory excellence and impactful compliance solutions.
- Qualifications: Experience in Asset or Wealth Management with strong regulatory knowledge required.
- Other info: Ideal for those passionate about compliance and risk management in finance.
The predicted salary is between 68000 - 90000 £ per year.
We are working with a global financial services firm providing investment processing, management, and operations solutions. With a strong presence in the UK and Europe, the business is known for its innovative technology, client-focused approach, and commitment to regulatory excellence.
- Compliance Support & Governance: Support the Compliance department to ensure effective governance, internal controls, and regulatory compliance across operations.
- Regulatory Advice & Monitoring: Provide compliance advice on new regulatory developments and assist with monitoring reviews, reporting, and implementing recommendations.
- Training & Policy Development: Contribute to the development and delivery of compliance training, and assist with drafting or revising compliance policies and procedures.
- Regulatory Exams & Due Diligence: Support regulatory exams, queries, reporting, and provide compliance responses for proposals and due diligence reviews.
- Compliance Reviews & Incident Management: Review and ensure compliance of financial promotions, client communications, and contractual agreements; handle breaches and client complaints per relevant policies.
- Risk Management & Reporting: Assist with risk management, management reporting, and collaborate with other control functions to ensure coordinated compliance responses.
Your Profile:
- Background in Asset Management, Wealth Management or similar
- Full suite of regulatory experience, spanning COBS, SYSC, CASS, MiFID, SMCR & Market Abuse
- Strong communication & stakeholder engagement skills
Senior Compliance Officer employer: Broadgate
Contact Detail:
Broadgate Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Officer
✨Tip Number 1
Familiarise yourself with the latest regulatory developments in the financial services sector. Being well-versed in COBS, SYSC, CASS, MiFID, SMCR, and Market Abuse will not only boost your confidence but also demonstrate your commitment to compliance excellence during discussions.
✨Tip Number 2
Network with professionals in the compliance field, especially those who have experience in asset and wealth management. Attend industry events or webinars to connect with potential colleagues and learn about the latest trends and challenges in compliance.
✨Tip Number 3
Prepare to discuss specific examples of how you've contributed to compliance training or policy development in your previous roles. Highlighting your hands-on experience will show that you can effectively support the Compliance department at StudySmarter.
✨Tip Number 4
Brush up on your communication and stakeholder engagement skills. Be ready to articulate how you’ve successfully managed relationships with various stakeholders in past positions, as this is crucial for a Senior Compliance Officer role.
We think you need these skills to ace Senior Compliance Officer
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities of a Senior Compliance Officer. Familiarise yourself with key regulations like COBS, SYSC, and MiFID, as well as the specific requirements mentioned in the job description.
Tailor Your CV: Highlight your relevant experience in asset management or wealth management. Emphasise your regulatory knowledge and any specific compliance projects you've worked on. Use keywords from the job description to ensure your CV aligns with what the company is looking for.
Craft a Compelling Cover Letter: In your cover letter, explain why you're passionate about compliance and how your background makes you a perfect fit for the role. Mention specific examples of how you've contributed to compliance training or policy development in previous positions.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter. Look for any spelling or grammatical errors, and ensure that all information is clear and concise. A polished application reflects your attention to detail, which is crucial in compliance roles.
How to prepare for a job interview at Broadgate
✨Know Your Regulations
Familiarise yourself with the key regulations relevant to the role, such as COBS, SYSC, CASS, MiFID, SMCR, and Market Abuse. Be prepared to discuss how these regulations impact compliance practices and share examples of how you've navigated them in your previous roles.
✨Showcase Your Communication Skills
As a Senior Compliance Officer, strong communication is crucial. Prepare to demonstrate your ability to engage with stakeholders effectively. Think of specific instances where you successfully communicated complex compliance issues to non-compliance staff or clients.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions that assess your problem-solving skills in compliance situations. Practice articulating your thought process on how you would handle regulatory breaches or client complaints, ensuring you highlight your analytical and decision-making abilities.
✨Highlight Your Training Experience
Since training and policy development are part of the role, be ready to discuss any experience you have in developing compliance training programmes. Share examples of how you’ve contributed to policy revisions and the impact it had on compliance culture within your previous organisations.
