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For Companies At a Glance
- 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, comprehensive benefits, and opportunities for professional growth.
- Why this job: Join a dynamic team and make a real impact in retail investments and consumer duty.
- Qualifications: Over 7 years of senior compliance experience and strong FCA knowledge.
- Other info: Exciting role with excellent career advancement potential.
The predicted salary is between 43200 - 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 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
✨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 a referral.
✨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 just apply anywhere; focus on companies that align with your values and career goals. Use our website to find roles that excite you and match your skills, making your application stand out.
✨Tip Number 4
Follow up after interviews! A quick thank-you email can keep you top of mind and show your enthusiasm for the role. Plus, it’s a great chance to reiterate why you’re the perfect fit for their team.
We think you need these skills to ace Senior Compliance Lead, Retail Investments & Consumer Duty
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 don’t miss out on any important updates regarding your application status.
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.
✨Prepare Real-Life Examples
Think of specific instances from your past experience where you've successfully managed compliance issues or complex complaints. This will help you demonstrate your problem-solving skills and how you handle challenging situations.
✨Showcase Your Communication Skills
Since excellent communication is key for this role, practice articulating your thoughts clearly and concisely. You might even want to prepare a few questions to ask the interviewers about their communication strategies within the team.
✨Engage with Stakeholders
Be ready to discuss how you’ve effectively engaged with various stakeholders in previous roles. Highlight your approach to building relationships and how you’ve trained business units on compliance matters, as this will be crucial for the position.
