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Compliance Advisory Specialist (Exclusive role)

  • Location

    Lancashire

  • Discipline:

    Compliance, Risk Management

  • Job type:

    Permanent

  • Salary:

    £50,000 - £60,000

  • Consultant:

    #

  • Email:

    rabelson@merje.com

  • Job ref:

    RA/16724(L)

  • Published:

    5 months ago

Financial Services firm, with key office locations in Lancashire and West Yorkshire are looking to hire a Compliance Advisory Specialist to join their expanding business with the role open to being based in either location.  Reporting to the Head of Compliance, the position will take responsibility for all aspects of compliance advice across the business with a focus on products within the Wealth Management and Investment space.

Key responsibilities include:

  • Breaches: initial assessment, stakeholder update reports, review of all breaches and FCA SUP notifications.
  • Reporting: co-ordination compliance report updates and KRI’s.
  • Advice: dealing with customer and business queries, business change proposals, financial promotions, and participating in industry body workshops. 
  • Data protection: co-ordinate DSAR and review DPIA’s
  • Policy Framework: assist in drafting new business policies and control standards, managing non-compliance owned policies across committees, exec and board level.
  • Financial Crime: approval of HRC, PEP, AML risk assessments and assisting with MLRO reporting.
  • Regulatory Returns: overseeing sampling of FCA complaints returns, updates to FCA register.
  • Regulatory Change Management: review regulatory assurance map, circulate business-wide Reg Change Tracker and the review of regulator websites to identify relevant regulatory change items.
  • Reviewing Vendor Engagement Forms
  • Reviewing eLearning content
  • Maintain Compliance Business Continuity Plan

The ideal Candidate:

  • Meaningful experience in a Compliance Function preferably within an Investment, Wealth Management, Stockbroking environment.
  • Sound technical regulatory knowledge across the various FCA rule books.
  • Experience of representing Compliance at project meetings and governance forums.
  • Experience in providing compliance advice across the business in relation to Investment, Wealth Management and Stockbroking products.
  • Commercial, business focussed with strong judgement and integrity
  • Excellent oral and written communication skills.

MERJE have been appointed exclusively on the role and any CVs sent direct to the client will be forwarded to MERJE for evaluation. Salary range is broad and will be entirely commensurate with experience.