Compliance Officer

About this role

Vacancy No

VN324

Birmingham, Bristol, Coventry, Darlington, Glasgow, London, Manchester, Redditch, Sheffield, St Albans, York, Edinburgh

Employment Type

Full-Time or Part-Time

Vacancy Overview

Broadstone have an exciting opportunity for a Compliance Officer to join their team.

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 850, 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 13 regional hubs stretching from London to Glasgow.

Compliance Officer – The Role

Support the General Counsel (GC) and the Compliance & Legal Team in delivering an effective Compliance & Risk function across all Broadstone entities.

Key Responsibilities

Compliance Officer – Key Responsibilities

• As part of Compliance & Legal Team provide Compliance supervision and advice to Broadstone regulated and non-regulated entities, but in particular the Pension Administration & Advisory business unit (PAA).
• Monitor the Compliance Team mailbox and respond to or allocate queries/tasks/ incidents to other members of the Team.
• Assist the MLRO with ML queries raised by staff.
• Assist in oversight of the Training & Competence scheme; including lead on delivery of appropriate training modules across the business and in particular PAA.
• Provide oversight of compliance and supervision of allocated business stream(s). Working with relevant division heads to develop and implement compliance strategy – with particular focus on PAA.
• Support the GC to maintain a robust Compliance Monitoring Programme for Broadstone and assist with ensuring changes from regulatory developments relevant to Broadstone are assessed and implemented.

Your Skills & Experience

Compliance Officer – You

• Appropriate knowledge of pensions administration, the financial services industry/regulatory environment within which the organisation works.
• Effective interpersonal skills, sound judgment and sensitivity to deal with confidential business and client-related issues.
• Strong organisational skills with the ability to plan effectively and prioritise work including the ability to work methodically, independently and with an ability to work well under pressure and deliver to tight deadlines.
• Knowledge of different product types and service propositions and related industry practice.
• Understanding of compliance and risks related to Broadstone services.
• Windows computer packages, including Microsoft Word, PowerPoint and Excel.

Employee Benefits

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

for this exciting Compliance Officer opportunity,

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.

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