At a Glance
- Tasks: Guide teams on regulatory rules and ensure compliance through monitoring and policy development.
- Company: Join a forward-thinking firm committed to ethical practices and regulatory excellence.
- Benefits: Attractive salary, professional training, and opportunities for career advancement.
- Other info: Dynamic role with a focus on continuous learning and professional growth.
- Why this job: Make a difference by ensuring the business 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.
Locations
Compliance Specialist in Cheshire, Warrington 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 Cheshire, Warrington
✨Tip Number 1
Network like a pro! Reach out to folks in the compliance field on LinkedIn or at industry events. We all know that sometimes it’s not just what you know, but who you know that can help you land that Compliance Specialist role.
✨Tip Number 2
Prepare for interviews by brushing up on FCA rules and regulations. We recommend creating a cheat sheet of key points to discuss, so you can show off your knowledge and confidence when it comes to regulatory advisory work.
✨Tip Number 3
Don’t forget to showcase your experience with compliance monitoring and policy management during interviews. We suggest using the STAR method (Situation, Task, Action, Result) to structure your answers and highlight your achievements effectively.
✨Tip Number 4
Apply through our website! We make it super easy for you to find and apply for roles that match your skills. Plus, it shows us you’re genuinely interested in joining our team and making a difference in compliance.
We think you need these skills to ace Compliance Specialist in Cheshire, Warrington
Some tips for your application 🫡
Tailor Your CV:Make sure your CV highlights relevant experience that aligns with the Compliance Specialist role. We want to see how your skills match up with the key responsibilities, so don’t be shy about showcasing your regulatory advisory and compliance monitoring experience!
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. We love seeing candidates who can articulate their understanding of FCA rules and their importance in the industry.
Showcase Your Attention to Detail:In compliance, details matter! When you’re filling out your application, double-check for any typos or errors. We appreciate candidates who take the time to ensure their application is polished and professional, reflecting the high standards we uphold at StudySmarter.
Apply Through Our Website:We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, you’ll get to explore more about our company culture and values while you’re at it!
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 shows you’re not just knowledgeable but also genuinely interested in the role.
✨Showcase Your Advisory Skills
Prepare examples of how you've provided regulatory advice in previous roles. Think about situations where your guidance helped a business unit navigate compliance challenges. This will demonstrate your practical experience and problem-solving abilities.
✨Highlight Monitoring Experience
Be ready to talk about your experience with compliance monitoring and thematic reviews. Discuss any Compliance Monitoring Plans you've delivered and how you reported findings. This will show that you understand the importance of oversight in maintaining regulatory standards.
✨Emphasise Training and Culture
Discuss your approach to delivering compliance training and promoting a culture of ethics. Share any initiatives you've led or participated in that fostered compliance awareness within an organisation. This will illustrate your commitment to building a strong compliance culture.
