Regulatory Advice Specialist

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  • Salary:

    £30,000 - £40,000

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  • Published:

    almost 2 years ago

My client is long established and well regarded in the field in which they operate.

They are currently looking for an individual who will be responsible for ensuring that the highest standards of compliance are achieved and maintained across the group through working with functional and departmental managers.

You will also be required to perform regulatory analysis and horizon scanning in order to assess the applicability and impact of regulatory changes and developments on the group’s activities.


Key responsibilities include:

·           Ongoing review of publications produced by regulatory bodies including FCA, Insolvency Service and ICO to ensure that the group is aligned to the regulators’ key areas of focus.

·           Interpreting forthcoming changes within the regulatory landscape and understanding and communicating these across the group and the Executive as necessary.

·           Provide technical regulatory compliance and conduct advice to the group and review processes, procedures and regulatory training material with management to ensure operational readiness.

·           Establish collaborative, proactive working relationships with key stakeholders across the group, including the External Affairs team, in relation to key items of regulatory focus. 

·           Responding to and providing support and guidance in relation to technical queries from across the group and keeping up to date logs of all advice provided.

·           Reviewing client facing communications to ensure compliance with regulatory requirements ensuring that internal processes are adhered to and records logged.

·           Lead and support the completion of gap analyses on regulatory developments and, if gaps or weaknesses are identified, collaborate with operational stakeholders and support them to deliver compliant solutions.

·           Providing support and guidance to colleagues across the group in relation to systems and control requirements around regulatory rules. 

·           Undertaking other ad hoc regulatory advice focused tasks as required supporting colleagues within the compliance team and across the group.


The Person

·         A good level of knowledge and understanding of FCA regulations specifically CONC, CASS, SYSC, DISP and PRIN

·         A good awareness and understanding of DPA legislation

·         Excellent communication skills with the ability to convey technical information to non-technical stakeholders

·         Ability to engage with stakeholders across all areas of the group and work collaboratively with different teams and business areas

·         Ideally a minimum of 2/3 years’ compliance advice/policy/change experience but candidates with extensive Monitoring experience would also be considered

·         Paralegals who may be looking to move across into compliance / financial services would also be considered.


Salary is entirely commensurate with experience but will reflect the significance of the role.