Compliance Advisory Specialist
4 weeks ago
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.
- 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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Compliance Advisory Specialist
4 weeks ago
Eastern England, United Kingdom Broadgate Full timeCompliance Advisory Role at BroadgateWe 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 relevant laws, regulations, and internal...
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Compliance Advisory Specialist
4 weeks ago
Eastern England, United Kingdom Broadgate Full timeCompliance Advisory Role at BroadgateWe 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 relevant laws, regulations, and internal...
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Compliance Advisory Contractor
4 weeks ago
Eastern England, United Kingdom Broadgate Full timeWe are looking for an Interim Compliance Advisory Professional to support an Investment Management business based in the M4 Corridor (Hybrid, maximum of 1 day per week on site).The details of the role are as follows:-Develop and maintain a comprehensive understanding of all relevant laws, regulations, and internal policies that apply to the Group.Conduct...
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Compliance Advisory Contractor
4 weeks ago
England, United Kingdom Broadgate Full timeWe are looking for an Interim Compliance Advisory Professional to support an Investment Management business based in the M4 Corridor (Hybrid, maximum of 1 day per week on site).The details of the role are as follows:-Develop and maintain a comprehensive understanding of all relevant laws, regulations, and internal policies that apply to the Group.Conduct...
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