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.
Compliance Specialist in Warrington 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 exceptional place for those seeking a rewarding career in compliance.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Specialist in 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 those 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
Finally, apply through our website! We’ve got loads of resources to help you prepare and stand out. 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 in Warrington
Some tips for your application 🫡
Tailor Your CV:Make sure your CV highlights your experience with regulatory frameworks like FCA and PRA. We want to see how you've tackled compliance challenges in the past, so don’t hold back on those details!
Showcase Your Advisory Skills:In your cover letter, give us examples of how you've provided guidance on compliance matters. We love seeing real-life scenarios where you’ve made a difference in a business unit’s understanding of regulations.
Be Clear and Concise:When writing your application, keep it straightforward. Use bullet points for key achievements and make sure we can easily spot your relevant skills and experiences. Clarity is key!
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’s super easy!
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 and SMCR, as this shows you understand the compliance landscape and can provide valuable insights.
✨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 ability to support teams effectively.
✨Demonstrate 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, as this will show your practical understanding of the role.
✨Emphasise Training and Culture
Discuss your approach to delivering compliance training and promoting a culture of ethics. Share examples of how you've successfully engaged teams in compliance initiatives, as this is crucial for fostering a strong compliance environment.
