Compliance Adviser

  • Location


  • Discipline:


  • Job type:


  • Salary:

    £40,000 - £45,000

  • Consultant:


  • Email:


  • Job ref:


  • Published:

    almost 3 years ago

Long standing and reputable financial services firm, located in Lancashire, are seeking a Compliance Adviser.  The role will have responsibility for advising and supporting the firm to carry out its regulatory obligations and ensuring good customer outcomes are delivered. The role sits within the second line of defence, and will be responsible for advising, overseeing, monitoring and challenging the firm’s compliance with relevant regulatory requirements.  The location is comfortably reachable from Bolton, Chorley, Preston, Blackburn, Manchester, Blackpool and Southport.


  • Provide timely, clear and pragmatic regulatory and conduct risk advice and support to the business
  • Provide advice in relation to relevant business initiatives, business change and projects
  • Review and provide guidance on all new, or changes to, existing customer forms and literature
  • Review and sign off financial promotions prior to a product launch
  • Provide regulatory training as and when required
  • Attend the monthly Management Risk & Compliance Committee
  • Support the Head of Compliance & DPO in producing MI and reports for the Management Risk & Compliance Committee and Audit Risk & Compliance Committee
  • Where necessary, conduct regular and /or ad hoc compliance monitoring checks in line with the CMP
  • Where necessary, respond to data protection queries, data breaches and data subjects exercising their data protection rights.   
  • Track the progress and status of all internal audit and external audit actions,
  • Identify all emerging and prudential and conduct legislation, regulation and industry guidance

Experience Required:

  • Good understanding of the regulatory environment in relation to savings and/ or mortgages
  • Knowledge and experience in retail conduct risk related issues
  • Strong experience of providing advice and guidance on regulatory standards
  • Excellent relationship management skills with the ability to build and maintain effective working relationships     
  • Strong interpersonal, communication and influencing skills
  • Experience of working with senior management
  • Excellent verbal, written and structured planning skills