Compliance Advisory Associate
Job in
Greater London, London, Greater London, EC1A, England, UK
Listed on 2026-01-13
Listing for:
Broadgate
Full Time
position Listed on 2026-01-13
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Services, Financial Compliance
Job Description & How to Apply Below
Associate Director, Risk, Compliance, Financial Crime and Finance Broadgate
Direct message the job poster from Broadgate
Compliance Advisory AssociateAs 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.
- 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-LjbffrPosition Requirements
10+ Years
work experience
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