Our client is an award-winning Investment platform which offers a broad range of services the Financial Advisory and Wealth Management sectors. An exciting opportunity has come about for a capable Prudential Compliance specialist to join their Regulatory team on a 12-month contract basis.
You will support the Compliance Department in providing specialist advice and guidance to the business on UK prudential regulation. A particular focus will be on supporting the business in relation to the forthcoming Investment Firms Prudential Regime (“IFPR”).
Key responsibilities include:
- Analysis of the FCA’s publications on prudential regulation, in particular, of the consultation papers and policy statements on the IFPR, including interpreting the relevant rules and assessing which rules apply
- Providing guidance and support to the business on the requirements of the IFPR and other relevant prudential regulations
- Assist with the delivery of regulatory change projects and other compliance initiatives when required.
- Contribute to the delivery of timely and effective reporting to the relevant Committees and Forums, and Head of Compliance on Compliance activity and projects.
- Ensure that the business is aware of the relevant prudential requirements, including the IFPR.
- Produce insightful and accurate analysis of regulatory papers
Expertise required:
- Relevant Prudential Compliance experience gained within a financial services firm
- Previous experience of advising on prudential requirements
- Knowledge of UK regulatory framework with direct relevant experience
- Basic understanding of retail financial products including ISAs and pensions.
- Strong intellect and analytical ability.
- Excellent planning and organisational skills.
- Ability to work under pressure and meet tight deadlines.
- Strong interpersonal and communication skills (verbal and written).