Broadstone have an exciting opportunity for a Compliance Officer to join their team.
Location: National
Who are we?
Broadstone is a thriving consultancy offering a wide range of services in pensions, investments, and employee benefits. Established in 1989, the business has grown from a small team to a workforce of nearly 800, brought together by a desire to provide a personal, expert service to all who put their faith in us. We take pride in assisting small and medium sized pension schemes who lack the time or resources to address increasingly challenging issues themselves.
Our values are at the heart of everything we do and drive us forward every day. We strive to attract, develop, and retain high quality talent to work together to provide the best possible client outcomes. Our team feel empowered to share ideas to continuously improve our business. The impressive results of both client and staff surveys are a source of great pride.
Broadstone are committed to building an inclusive working environment, valuing diversity, equity and inclusion based on age, background, disability, gender, gender identity, gender expression, race, religion or sexual orientation.
We operate out of 12 regional hubs stretching from London to Glasgow.
Compliance Officer – The Role:
You will join a large and growing company, working in a fast-paced, collaborative environment where you will quickly become an integral and valuable member of our Compliance team, supporting the General Counsel and the wider team to deliver an effective service across the business.
Compliance Officer – Key Responsibilities:
- Providing risk assessments on legislation and/or regulatory obligations to assess their impact.
- Preparing Management Information/reports for Boards and committees.
- Advising on regulatory obligations to prevent non-compliance, working with division heads to implement and develop strategy.
- Assisting in development of a risk-based compliance programme, including a plan to monitor and train staff.
- Preparation of accurate FCA Regulatory returns, Senior Managers & Certification Regime (SMCR) requirements and all necessary regulatory reporting.
Compliance Officer – You:
- Knowledge of the financial services industry (Investments, Pensions and/or Health & Protection), including Financial Conduct Authority rules and Anti-Money Laundering regulations.
- Effective interpersonal skills, sound judgment and sensitivity to deal with confidential business and client-related issues.
- Strong organisational, planning and prioritisation skills including the ability to work well under pressure and deliver to tight deadlines.
- Experience in a similar organisation with knowledge of products and services is desirable.
- Level 4 Diploma in Financial Planning (or equivalent) is desirable.
Compliance Officer – Benefits:
- Competitive salary
- 25 days holiday plus bank holidays (with option of buying more)
- Private Medical Insurance
- Group Life Assurance
- Income Protection
- Generous pension scheme
- Health cash plan
- Additional optional benefits to best suit your lifestyle
- Social events
- Volunteering opportunities
To submit your application for this exciting Compliance Officer opportunity, please click ‘Apply’ now!
If you are interested in this opportunity and wish to have a confidential conversation about the scope and expectations, please contact ewan.wood@broadstone.co.uk.
Broadstone reserves the right to close our vacancies early and will endeavour to respond to all applicants. However, if for any reason you have not heard back within 28 days of applying, please assume that you have been unsuccessful on this occasion.
Job Type: Full-time
Benefits:
- Additional leave
- Company pension
- Life insurance
- On-site gym
- Referral programme
- Work from home
Application question(s):
- What are your salary expectations?
- What is your current right to work status (e.g. British citizen, post study work visa, skilled worker visa etc.)?
Work Location: Hybrid remote in Sheffield S9 1XH