Job Description:  The role will contribute to an effective compliance culture within the business by assisting in the creation/development of regulatory outlook content for delivery to internal and external stakeholders

The role will involve taking responsibility for the following:

The identification of regulatory changes and/or developments (in particular FCA consultations, thematic reviews and policy guidance papers), industry commentary or other communications which potentially impact the business model and its clients

Conduct robust impact analysis of any changes, developments, or risks which result from regulatory/legislative communications and identify any potential conduct risks and weaknesses with particular reference to company client needs and company's compliance guidance/material

Co-ordinate and produce analysis (suitable for circulation to both internal and external stakeholders) of regulatory publications/guidance affecting the company's clients, summarising the key changes/actions required from both internal teams and company clients

Identification, analysis and co-ordination of the impacts on existing compliance guidance/material (and need for new material if applicable) and the relevant changes that need to be made.

Co-ordinate and produce regular compliance bulletins/updates for the company's clients

Co-ordinate with stakeholders and respond to relevant FCA communications (such as discussion papers and consultation papers) and other relevant industry bodies on behalf of the company. 

To proactively engage with the relevant bodies (including the regulator) to obtain clarification on rule/guidance interpretation when required

Key Requirements:

Diploma in Financial Planning (or equivalent)

At least 2 years' experience of drafting guidance, handling and resolving complex regulatory queries in a varied compliance/ technical environment.

Experience of liaising directly with regulatory organisations to resolve points of interpretation.

Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.

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