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Compliance Prudential Specialist – 12 Month FTC

  • Location: London
  • Salary: £70,000 - £75,000 per year
  • Job Type:Permanent

Posted 5 months ago

  • Sector: Compliance
  • Contact: Edward Manson
  • Contact Email:
  • Expiry Date: 20 April 2021
  • Job Ref: EM/17273

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).