Compliance Risk Manager

4 weeks ago


Leeds, Leeds, United Kingdom Broadgate Full time
Job Title: Compliance Monitoring Specialist

At Broadgate, we are seeking a highly skilled Compliance Monitoring Specialist to join our team.

Job Summary

The Compliance Monitoring Specialist will be responsible for ensuring that our business operates within all relevant regulatory requirements and internal policies.

Key Responsibilities

  • Regularly review and update compliance policies and procedures to ensure they remain effective and relevant.
  • Support the development of the Compliance Monitoring Programme, identifying potential risks and areas for improvement.
  • Produce high-quality reports and recommendations to propose actions to mitigate compliance risks.

Requirements

  • Proven experience in financial services, with a strong understanding of FCA regulations and handbooks.
  • 2nd line compliance monitoring experience, with a focus on risk management and governance.

About Broadgate

Broadgate is a leading provider of bespoke financial services, with a strong reputation for excellence in the pensions and financial advisory space.

What We Offer

We offer a competitive salary and benefits package, as well as opportunities for professional development and growth.



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