Compliance Advisory Specialist

4 weeks ago


Eastern England, United Kingdom Broadgate Full time
Compliance Advisory Professional

We are seeking a highly skilled Compliance Advisory Professional to support our Investment Management business based in the M4 Corridor. This is a hybrid role, with a maximum of 1 day per week on site.

Key Responsibilities:
  • Develop and maintain a comprehensive understanding of all relevant laws, regulations, and internal policies that apply to the Group.
  • Conduct compliance themed advisory reviews based on risk assessments and develop strategies to mitigate identified risks.
  • Monitor and assess the effectiveness of compliance training programs and make recommendations for improvements.
  • Support the SMCR Regime, CASS Compliance, ESG, and Consumer Duty initiatives.
Requirements:
  • Strong knowledge of regulatory requirements and compliance frameworks.
  • Excellent analytical and problem-solving skills.
  • Ability to work independently and as part of a team.
  • Strong communication and interpersonal skills.

Broadgate is a leading provider of investment management services. We are committed to delivering high-quality services to our clients and are seeking a talented Compliance Advisory Professional to join our team.



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