Back to Job Search

Compliance Advisory Executive - Investments

  • Location: City of Newport
  • Salary: c. £30,000 plus benefits per year
  • Job Type:Permanent

Posted 11 months ago

Working as part of a team assisting the business in delivering appropriate customer outcomes in accordance with the regulatory framework in relation to investment products. The role involves providing technical support and guidance to the business in relation to policies, procedures and training.

The role would suit an articulate compliance professional with extensive knowledge of financial services regulation for investments.

Key responsibilities include:


  • Work alongside colleagues across the business to provide ongoing advice and guidance on regulatory requirements, and assisting the business in raising operational and service standards through the identification and recommendation of best practices
  • Ensure that focus on appropriate customer outcomes is embedded in all department processes through controlled sign off of company policies, procedures and letters.
  • Support operational and regulatory projects acting as compliance SME to ensure regulatory requirements are met and any risks to the business are mitigated.
  • Maintain, and keep updated, Compliance frameworks, policies and procedures in line with regulatory change or clients’ requirements.

The Person:

  • Detailed knowledge of FCA, rules and guidance including COBS, CASS, MIFID II, ISA regulations, FATCA, DISP
  • Detailed knowledge of structured products/deposits, ISAs and child trust funds
  • Three years’ experience working in a financial services regulatory environment