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, flexible working options, and opportunities for professional growth.
- Other info: Dynamic role with a focus on compliance and ethics in a supportive environment.
- 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 employer: Broster Buchanan
As a Compliance Specialist at our firm, you will thrive in a dynamic work environment that prioritises regulatory excellence and ethical conduct. We offer comprehensive training programmes, a supportive culture that encourages professional growth, and the opportunity to make a meaningful impact on our compliance framework. Located in a vibrant area, our company fosters collaboration and innovation, making it an ideal place for those seeking a rewarding career in compliance.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Specialist
✨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 they ask about regulatory frameworks.
✨Tip Number 3
Don’t forget to showcase your experience with compliance monitoring and policy development during interviews. We suggest using the STAR method (Situation, Task, Action, Result) to structure your answers and make a lasting impression.
✨Tip Number 4
Apply through our website! We’ve got loads of resources to help you prepare for your application and interview process. Plus, it shows you’re genuinely interested in joining our team and making a difference in compliance.
We think you need these skills to ace Compliance Specialist
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 sure to mention specific experiences that relate to regulatory advisory and policy management.
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, as it reflects your commitment to quality.
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, it gives you a chance to explore more about our company culture!
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 how you reported findings to stakeholders.
✨Emphasise Training and Culture
Discuss your approach to delivering compliance training and promoting a culture of ethics. Share any initiatives you've led that fostered awareness and compliance within an organisation, as this is crucial for the role.
