At a Glance
- Tasks: Guide teams on regulations, monitor compliance, and develop policies to keep the business in check.
- Company: Join a forward-thinking firm committed to ethical practices and regulatory excellence.
- Benefits: Attractive salary, professional development opportunities, and a supportive work environment.
- Other info: Dynamic role with opportunities for growth in the compliance field.
- Why this job: Make a difference by ensuring the company meets its regulatory obligations and promotes ethical conduct.
- Qualifications: Strong understanding of FCA regulations and excellent communication skills.
The predicted salary is between 40000 - 50000 £ per year.
The Compliance Officer supports the firm in meeting its regulatory obligations under the FCA, PRA, and other relevant frameworks. The role combines advisory work, monitoring, policy development, and incident management to ensure the business operates within regulatory expectations.
Key Responsibilities
- Regulatory Advisory — Provide day‑to‑day guidance to business units on FCA rules (e.g., COBS, SYSC, SMCR, CONC, PROD).
- Compliance Monitoring — Deliver the annual Compliance Monitoring Plan, conduct thematic reviews, and report findings.
- Policy & Framework Management — Draft, update, and maintain compliance policies, procedures, and control frameworks.
- Regulatory Reporting — Support or lead regulatory submissions (e.g., GABRIEL/RegData returns, SMCR updates).
- Training & Awareness — Deliver compliance training and promote a strong culture of conduct and ethics.
Compliance Specialist in Birkenhead employer: Broster Buchanan
As a Compliance Specialist at our firm, you will thrive in a dynamic and supportive environment that prioritises regulatory excellence and employee development. We offer comprehensive training programmes, a collaborative work culture, and opportunities for career advancement, all while being located in a vibrant area that fosters both professional and personal growth. Join us to be part of a team that values integrity and innovation, making a meaningful impact in the financial sector.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Specialist in Birkenhead
✨Tip Number 1
Network like a pro! Reach out to folks in the compliance field on LinkedIn or at industry events. We can’t stress enough how valuable personal connections can be in landing that Compliance Specialist role.
✨Tip Number 2
Prepare for interviews by brushing up on FCA rules and recent regulatory changes. We want you to show off your knowledge and passion for compliance, so dive deep into those frameworks!
✨Tip Number 3
Don’t just apply anywhere; focus on companies that align with your values. Use our website to find roles that excite you and match your skills. We’re here to help you find the perfect fit!
✨Tip Number 4
Follow up after interviews! A quick thank-you email can go a long way in showing your enthusiasm for the role. We believe it’s all about making a lasting impression!
We think you need these skills to ace Compliance Specialist in Birkenhead
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Compliance Specialist role. Highlight your experience with FCA rules and any relevant compliance monitoring you've done. We want to see how your skills match 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 you can contribute to our team. Be specific about your experience with policy development and regulatory reporting.
Showcase Your Attention to Detail:Compliance is all about the details, so make sure your application is free from typos and errors. We appreciate candidates who take the time to present their work neatly and accurately.
Apply Through Our Website:We encourage you to apply through our website for the best chance of getting noticed. It’s super easy, and you'll be able to keep track of your application status directly with us!
How to prepare for a job interview at Broster Buchanan
✨Know Your Regulations
Familiarise yourself with the FCA, PRA, and other relevant frameworks before the interview. Be ready to discuss specific rules like COBS, SYSC, and SMCR, as this will show your understanding of the compliance landscape.
✨Showcase Your Advisory Skills
Prepare examples of how you've provided regulatory advice in previous roles. Highlight situations where your guidance helped a business unit navigate complex compliance issues, demonstrating your practical experience.
✨Demonstrate Monitoring Experience
Be ready to talk about your experience with compliance monitoring. Discuss any annual plans you've delivered or thematic reviews you've conducted, and be prepared to share the outcomes of your findings.
✨Emphasise Training and Culture
Discuss your approach to delivering compliance training and promoting a culture of ethics. Share specific examples of how you've engaged teams in compliance initiatives, as this shows your commitment to fostering a compliant environment.
