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- Tasks: Provide expert advice on regulatory compliance and manage complex complaints.
- Company: Leading financial broker based in Greater London with a strong reputation.
- Benefits: Competitive salary and comprehensive benefits package.
- Why this job: Join a dynamic team and shape compliance strategies in retail investments.
- Qualifications: 7+ years in senior compliance roles with FCA regulations expertise.
- Other info: Opportunity for professional growth in a fast-paced environment.
The predicted salary is between 48000 - 72000 £ per year.
A leading financial broker based in Greater London is seeking a Senior Compliance Officer to provide crucial advice on regulatory compliance for new and existing products.
The ideal candidate will have over 7 years of experience in a senior compliance role, specifically in retail investments, and a strong understanding of FCA regulations.
This role involves:
- Advising on consumer duty principles
- Training business units
- Managing complex complaints
Excellent communication and stakeholder management skills are essential. Competitive salary and benefits offered.
Senior Compliance Lead, Retail Investments & Consumer Duty in London employer: Compliance Professionals
Contact Detail:
Compliance Professionals Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Lead, Retail Investments & Consumer Duty in London
✨Tip Number 1
Network like a pro! Reach out to your connections in the finance sector, especially those who know about compliance roles. A friendly chat can lead to insider info on job openings or even referrals.
✨Tip Number 2
Prepare for interviews by brushing up on FCA regulations and consumer duty principles. We recommend creating a cheat sheet of key points to discuss, so you can showcase your expertise confidently.
✨Tip Number 3
Don’t underestimate the power of follow-ups! After an interview, drop a quick thank-you email to express your appreciation. It keeps you fresh in their minds and shows your enthusiasm for the role.
✨Tip Number 4
Apply through our website for the best chance at landing that Senior Compliance Lead role. We make it easy for you to showcase your skills and experience directly to the hiring team!
We think you need these skills to ace Senior Compliance Lead, Retail Investments & Consumer Duty in London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your experience in compliance, especially in retail investments. We want to see how your background aligns with the FCA regulations and consumer duty principles mentioned in the job description.
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for this Senior Compliance Lead role. Share specific examples of how you've successfully managed compliance issues or trained teams in the past.
Showcase Your Communication Skills: Since excellent communication is key for this role, make sure your application reflects that. Use clear, concise language and structure your documents well. We want to see how you can convey complex information effectively.
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 this exciting opportunity. Don’t miss out!
How to prepare for a job interview at Compliance Professionals
✨Know Your FCA Regulations
Make sure you brush up on the latest FCA regulations and consumer duty principles. Being able to discuss these confidently will show that you’re not just familiar with the rules, but that you can apply them in real-world scenarios.
✨Showcase Your Experience
With over 7 years in a senior compliance role, you’ll want to highlight specific examples of how you've navigated complex compliance issues. Prepare anecdotes that demonstrate your problem-solving skills and your ability to manage complaints effectively.
✨Communicate Clearly
Since excellent communication is key for this role, practice articulating your thoughts clearly and concisely. Consider doing mock interviews with a friend or colleague to refine your delivery and ensure you can engage stakeholders effectively.
✨Prepare Questions for Them
Interviews are a two-way street! Prepare insightful questions about their compliance culture and how they handle regulatory changes. This shows your genuine interest in the role and helps you assess if the company aligns with your values.
