Job Description: The role will be responsible for the provision of high quality advice to the business on regulatory and compliance matters and for assisting the Compliance Director in the ongoing development and enhancement of the company’s compliance and regulatory risk management arrangements.
Key responsibilities include:
• Providing clear, accurate and timely advice on regulatory matters, including the application of relevant requirements in the FCA Handbook.
• Reviewing business operations and procedures to ensure that they remain compliant with policies and procedures and relevant regulatory requirements.
• Monitoring regulatory developments and advising on their relevance and implications for the business and on actions needed to prepare for compliance.
• Drafting compliance policies and procedures to meet business and regulatory requirements, seeking input from stakeholder and educating end-users on new requirements.
• Preparing and delivering training to staff on regulatory matters.
• Accurate and timely completion of regulatory returns and forms and submitting these via FCA Connect and GABRIEL.
• Review of financial promotions and changes to client documentation and templates.
• 5 years or more in a financial services environment, at least 3 of these in wealth management
• 3 years or more in a broad compliance role, with a good level experience across a range of compliance disciplines
• A detailed understanding of FCA requirements.