Compliance Advisor – Regulatory Relations – Wealth / Investment

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    £45,000 - £55,000 pa

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  • Published:

    9 months ago

This role will be responsible for the delivery of the work for the Regulatory Relations Team and, as required, the Compliance Department more broadly. This role will involve supporting the business in relation to financial reporting requirements, as well as the requirements of applicable prudential regulations. Prior knowledge of these areas will therefore be advantageous.

Key responsibilities include:

  • Support the Business with Reporting Requirements
  • Regulatory Horizon Scanning
  • Impact analyses – considering the impact of changes identified and coordinating the timely production of Regulatory Developments Updates
  • Periodic Regulatory Reporting – compiling and, following sign off, submitting all periodic reporting to the Group’s regulators on time (e.g. Product Sales Data; COREP and Asset Encumbrance).
  • Ad Hoc Information Requests – compiling and, following sign off, submitting all ad hoc information requested by the Group’s regulators on time.
  • Coordinating regulator visit plans – assisting in designing and running regulator visit plans (including in particular tracking delivery of information required prior to the visit)


  • Data integrity – analysing and cleansing data produced for the purposes of reporting to the Group’s regulators
  • Assist with the delivery of regulatory change projects and other compliance initiatives when required.
  • Provide help and guidance to other Compliance team members in relation to queries.
  • Contribute towards relevant internal and external consultations, discussions and policy debates.
  • Contribute to the delivery of timely and effective reporting to the Boards, Committees and Forums, Group Counsel and Head of Compliance on Compliance activity and projects.
  • Take responsibility for designing, producing and managing compliance processes and management information or providing advice to specific business areas.
  • Support the Complaints function in administering the complaints resolution process, including logging and responding to complaints from clients and advisers.



The Person

  • Degree qualified
  • Good understanding of the financial services industry – including ISA’s and Pensions
  • Experience of reporting on COREP and FINREP reporting requirements
  • Excellent verbal and written communication
  • Experience of working in a compliance, risk or legal function within a financial services firm
  • Conscientious with excellent attention to detail
  • Excellent planning and organisational skills