At a Glance
- Tasks: Monitor and implement regulatory requirements in wealth and investment management.
- Company: Join a leading firm in financial services with a strong compliance focus.
- Benefits: Competitive salary, career growth, and a supportive work environment.
- Other info: Dynamic role with opportunities for professional development and internal audits.
- Why this job: Make a real impact by ensuring compliance and supporting innovative business initiatives.
- Qualifications: Strong understanding of regulatory frameworks and excellent communication skills.
The predicted salary is between 36000 - 60000 £ per year.
This range is provided by Broster Buchanan. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.
Regulatory and Compliance Responsibilities
- Monitor, interpret, and implement regulatory requirements applicable to wealth and investment management (e.g. FCA/SEC/ASIC or relevant local regulator).
- Assist in maintaining the firm’s compliance policies, procedures, and compliance manual.
- Ensure regulatory changes are identified, assessed, and embedded into business processes in a timely manner.
Advisory & Oversight
- Provide day-to-day compliance advice and guidance to investment managers, advisers, and other business units.
- Review and approve marketing materials, client communications, and financial promotions.
- Support new product launches and business initiatives from a compliance perspective.
- Conduct compliance monitoring and thematic reviews in line with the annual compliance monitoring plan.
- Review client files, suitability assessments, and investment recommendations to ensure regulatory standards are met.
- Monitor conflicts of interest, personal account dealing, gifts and hospitality, and other conduct-related matters.
- Assist with identifying, assessing, and mitigating compliance and regulatory risks.
- Support the maintenance of the firm’s risk register and compliance reporting framework.
- Contribute to internal audits and regulatory examinations.
Reporting & Regulatory Interaction
- Prepare compliance reports and management information for senior management and committees.
- Assist with regulatory filings, notifications, and responses to regulator queries.
- Support the investigation and resolution of compliance breaches and incidents.
Seniority level: Associate
Employment type: Full-time
Job function: Accounting/Auditing
Industries: Financial Services and Accounting
Compliance Officer in Liverpool employer: Broster Buchanan
Broster Buchanan is an exceptional employer that prioritises employee development and a collaborative work culture, making it an ideal place for Compliance Officers to thrive. With a focus on regulatory excellence in the financial services sector, employees benefit from comprehensive training, mentorship opportunities, and a supportive environment that encourages professional growth. Located in a vibrant area, the firm offers competitive compensation and a commitment to work-life balance, ensuring that team members feel valued and engaged in their roles.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Officer in Liverpool
✨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 Officer role.
✨Tip Number 2
Prepare for those interviews by brushing up on your regulatory knowledge. Make sure you can discuss FCA/SEC/ASIC requirements confidently. We want you to show off your expertise and how you can implement these regulations effectively!
✨Tip Number 3
Don’t forget to tailor your approach! When you’re applying through our website, highlight your experience with compliance policies and procedures. We love seeing candidates who can demonstrate their understanding of compliance in wealth and investment management.
✨Tip Number 4
Follow up after interviews! A quick thank-you email can go a long way. We appreciate candidates who show enthusiasm and professionalism, so let them know you’re keen on the Compliance Officer position!
We think you need these skills to ace Compliance Officer in Liverpool
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Compliance Officer role. Highlight relevant experience and skills that match the job description, especially in regulatory requirements and compliance policies.
Craft a Compelling Cover Letter:Your cover letter should tell us why you're the perfect fit for this position. Use specific examples from your past experiences that demonstrate your ability to provide compliance advice and manage regulatory risks.
Showcase Your Attention to Detail:As a Compliance Officer, attention to detail is key. In your application, make sure to present your information clearly and accurately, as this reflects your ability to monitor and interpret regulatory requirements.
Apply Through Our Website:We encourage you to apply through our website for a smoother process. This way, we can easily track your application and ensure it gets the attention it deserves!
How to prepare for a job interview at Broster Buchanan
✨Know Your Regulations
Familiarise yourself with the key regulatory requirements relevant to wealth and investment management, such as FCA, SEC, and ASIC. Being able to discuss these regulations confidently will show your understanding of the compliance landscape.
✨Showcase Your Advisory Skills
Prepare examples of how you've provided compliance advice in previous roles. Think about specific situations where you guided teams or individuals on compliance matters, and be ready to share these during the interview.
✨Demonstrate Attention to Detail
Compliance work requires a keen eye for detail. Bring along examples of your work that highlight your ability to review documents, assess suitability, and ensure compliance standards are met. This will illustrate your thoroughness and diligence.
✨Prepare for Scenario Questions
Expect scenario-based questions where you'll need to demonstrate how you'd handle compliance breaches or regulatory changes. Practise articulating your thought process and decision-making skills in these situations to impress your interviewers.
