Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- Tasks: Support compliance advice and regulatory interactions while fostering a positive compliance culture.
- Company: Join Quintet, a diverse company committed to doing the right thing and career development.
- Benefits: Enjoy opportunities for personal and professional growth with various resources and programmes.
- Why this job: Be part of a team that values collaboration and inclusiveness while making a real impact.
- Qualifications: Good knowledge of UK and EU regulations; experience in compliance or legal sectors required.
- Other info: Work closely with senior leadership and engage with regulators to shape compliance strategies.
The predicted salary is between 43200 - 72000 £ per year.
When you join Quintet you are joining a company that values diversity of background, equal access to opportunities, career development, collaboration and inclusiveness. We want our employees to feel proud of being part of a company that is committed to do the right thing. You will have the opportunity to grow your career while developing personally and professionally through various resources and programmes.
The principal duty of the Regulatory Compliance Adviser within Brown Shipley (UK) Compliance team is supporting the UK Head of Compliance in ensuring that the team delivers high quality compliance advice to colleagues across all UK functions in the areas of: Regulatory culture, investor protection, market abuse, anti-bribery and corruption, sustainable finance and cross-border regulations.
The role reports to UK Head of Compliance, and works closely with the Group Head of Regulatory Compliance and Cross Border thus working closely with other EU and UK RCC advisers to ensure the successful delivery of the Compliance function’s strategy.
Key Accountabilities
- Quintet’s Regulatory Compliance policies and procedures: Drafting and reviewing Quintet’s RCC policies and procedures to ensure they remain aligned to the UK regulators’ expectations and best industry practice.
- Supporting the business: Supporting other functions in their policy/procedural making by providing them with the necessary regulatory expertise in those areas.
- Regulatory change: Identifying new relevant initiatives from the local regulator and other EU regulators, and carrying out regulatory and policy impact analyses.
- Interactions with regulators: Responsible for assisting the UK Head of Compliance in their interactions with UK regulators, and where appropriate assisting Quintet’s Compliance senior leadership team with their interactions with EU regulator, by informing key stakeholders, gathering the relevant information and assisting in the drafting of responses in a timely manner.
- Governance: Assisting UK Head of Compliance as well as the Group Head of Regulatory Compliance and Cross Border in the production of technical analyses and reports related to regulatory risk for escalation to the relevant supervisory and governance bodies.
- Training: Supporting UK Head of Compliance as well as the Group Head of Regulatory Compliance and Cross Border in developing and delivering training initiatives relative to regulatory compliance policies.
- Regulatory culture: The role holder must carry out all duties in strict accordance with Quintet’s Code of Conduct and act as its ambassador at all times. As any other member of the Compliance function the role holder will foster a positive culture of compliance across UK and Quintet.
Knowledge & Experience
- Good working knowledge of the UK and EU regulatory environment in the RCC topics as listed above.
- Ability to interpret rules and regulation and communicate the requirements clearly and effectively to a diverse range of stakeholders.
- Experience of drawing up and maintaining policies on regulatory requirements.
- Proven relevant experience in an Assisting UK regulator or Tier 1 private bank, legal or professional services firm.
- Demonstrable business process knowledge.
Attributes & Qualities
- Aligns to a team with a strong work ethic who, collectively and individually, understand the importance of meeting deadlines through a ‘can-do’ attitude.
- Ability to work cooperatively and positively within the team and across the business to engage stakeholders in a positive way with a focus on delivering outcomes.
- To work and conduct yourself with skill, professionalism, discretion and values befitting a member of the Compliance Department.
- Ability to engage people effectively in order to recognise and achieve agreed outcomes.
#J-18808-Ljbffr
Regulatory Compliance Advisor employer: LGBT Great
Contact Detail:
LGBT Great Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Regulatory Compliance Advisor
✨Tip Number 1
Familiarise yourself with Quintet's values and culture. Understanding their commitment to diversity, inclusiveness, and ethical practices will help you align your approach during interviews and discussions, showcasing that you are a good fit for their team.
✨Tip Number 2
Stay updated on the latest UK and EU regulatory changes. Being knowledgeable about current regulations and how they impact compliance will allow you to engage in meaningful conversations with the interviewers, demonstrating your expertise and proactive attitude.
✨Tip Number 3
Network with professionals in the compliance field, especially those who have experience in regulatory roles within financial institutions. This can provide you with insights into the role and potentially lead to referrals or recommendations that could strengthen your application.
✨Tip Number 4
Prepare to discuss specific examples of how you've successfully navigated regulatory challenges in the past. Highlighting your problem-solving skills and ability to communicate complex regulations clearly will set you apart as a strong candidate for the Regulatory Compliance Advisor position.
We think you need these skills to ace Regulatory Compliance Advisor
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities and requirements of the Regulatory Compliance Advisor position. Tailor your application to highlight your relevant experience in regulatory compliance and your understanding of UK and EU regulations.
Craft a Strong CV: Your CV should clearly outline your experience in compliance, particularly in areas such as regulatory culture, investor protection, and anti-bribery. Use specific examples to demonstrate your skills and achievements in these areas.
Write a Compelling Cover Letter: In your cover letter, express your enthusiasm for the role and the company. Highlight how your values align with Quintet's commitment to diversity and inclusiveness, and explain how your background makes you a suitable candidate for the position.
Proofread Your Application: Before submitting your application, take the time to proofread all documents. Check for spelling and grammatical errors, and ensure that your application is clear and professional. A polished application reflects your attention to detail, which is crucial in compliance roles.
How to prepare for a job interview at LGBT Great
✨Understand the Regulatory Landscape
Make sure you have a solid grasp of the UK and EU regulatory environment, especially in areas like investor protection and market abuse. Being able to discuss recent changes or trends will show your expertise and commitment to staying informed.
✨Demonstrate Your Communication Skills
Since the role involves communicating complex regulations to diverse stakeholders, practice explaining regulatory concepts in simple terms. This will highlight your ability to engage effectively with others, which is crucial for this position.
✨Showcase Your Policy Development Experience
Be prepared to discuss your experience in drafting and maintaining compliance policies. Bring examples of how you've contributed to policy-making processes in previous roles, as this will be key to demonstrating your fit for the job.
✨Emphasise Team Collaboration
Quintet values collaboration, so share examples of how you've worked positively within teams. Highlight any experiences where you engaged stakeholders to achieve outcomes, showcasing your ability to foster a positive compliance culture.
