Compliance Advisory Associate

Associate Director, Risk, Compliance, Financial Crime and Finance Broadgate

Direct message the job poster from Broadgate

Compliance Advisory Associate

As the Compliance Advisory Associate, you will be working with the wider Risk & Compliance team to help the business meet the requirements of the FCA and other relevant regulators.

Key Responsibilities

• Provide advice, training, and guidance to the business on regulatory matters.
• Work on regulatory horizon scanning and anticipate upcoming regulatory changes.
• Support the review of Financial Promotions.
• Assist in determining the relevance and impact of regulatory change and provide practical support on the implementation of any necessary changes.
• Manage ad hoc regulatory queries from the business.

Experience & Qualifications

• Previous experience in a similar Compliance role within Wealth & Investment Management.
• Detailed, current technical knowledge of the FCA Handbook (Consumer Duty, SYSC, COBS, SMCR) and other relevant regimes.
• Strong attention to detail.

Referrals increase your chances of interviewing at Broadgate by 2x

#J-18808-Ljbffr