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- Tasks: Support regulatory compliance by providing advice, monitoring activities, and reviewing communications.
- Company: Join a leading global provider of asset management and investment technology solutions.
- Benefits: Enjoy a hybrid work model with flexible hours and competitive salary.
- Why this job: Be part of a dynamic team that shapes compliance in the financial sector and makes a real impact.
- Qualifications: 4+ years of regulatory compliance experience in financial services, preferably in wealth or investment management.
- Other info: Collaborate with various internal teams to ensure compliance and enhance your professional network.
The predicted salary is between 48000 - 84000 £ per year.
A leading global provider of asset management and investment technology solutions is seeking an experienced Senior Compliance Associate who will support the business by providing regulatory advice, reviewing communications, monitoring activities, and helping maintain compliance with FCA and other applicable regulations.
- Regulatory Advice: Provide day-to-day compliance support and guidance on new regulatory developments.
- Monitoring: Conduct and document compliance monitoring reviews and support implementation of recommendations.
- Policy & Training: Assist with drafting compliance policies and delivering training.
- Marketing Review: Review and approve financial promotions and client communications.
- Complaints & Breaches: Support complaint handling and breach logging, ensuring records are accurate and complete.
- Assist with internal and regulatory reporting, including MI for senior management.
- Stakeholder Collaboration: Work with internal teams (Legal, Risk, Audit) on compliance-related matters.
4+ years' regulatory compliance experience in financial services (Ideally worked in wealth or investment management).
Senior Regulatory Affairs Specialist (Hybrid) employer: Broadgate
Contact Detail:
Broadgate Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Regulatory Affairs Specialist (Hybrid)
✨Tip Number 1
Familiarise yourself with the latest FCA regulations and compliance requirements specific to asset management. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in a rapidly changing regulatory environment.
✨Tip Number 2
Network with professionals in the regulatory affairs space, especially those who work in asset 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 successfully navigated compliance challenges in your previous roles. Highlight your experience in monitoring activities and implementing recommendations, as these are key aspects of the job.
✨Tip Number 4
Showcase your ability to collaborate with various stakeholders, such as Legal, Risk, and Audit teams. Be ready to explain how you've worked cross-functionally in the past to enhance compliance processes and ensure regulatory adherence.
We think you need these skills to ace Senior Regulatory Affairs Specialist (Hybrid)
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your regulatory compliance experience, especially in financial services. Emphasise any specific roles or projects related to asset management and investment technology solutions.
Craft a Strong Cover Letter: In your cover letter, clearly articulate your understanding of FCA regulations and how your experience aligns with the responsibilities outlined in the job description. Mention specific examples of how you've provided regulatory advice or conducted compliance monitoring.
Showcase Relevant Skills: Highlight skills that are crucial for the role, such as stakeholder collaboration, policy drafting, and training delivery. Use concrete examples to demonstrate your proficiency in these areas.
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 essential in regulatory affairs.
How to prepare for a job interview at Broadgate
✨Know Your Regulations
Make sure you have a solid understanding of the FCA regulations and any recent changes. Being able to discuss these confidently will show your expertise and readiness for the role.
✨Prepare Real-Life Examples
Think of specific instances where you've provided regulatory advice or handled compliance issues. Sharing these examples will demonstrate your practical experience and problem-solving skills.
✨Showcase Your Collaboration Skills
Since the role involves working with various internal teams, be prepared to discuss how you've successfully collaborated with others in the past. Highlighting teamwork can set you apart from other candidates.
✨Ask Insightful Questions
Prepare thoughtful questions about the company's compliance culture and how they handle regulatory changes. This shows your genuine interest in the role and helps you assess if it's the right fit for you.
