Regulatory Adviser

  • Location


  • Discipline:

    Compliance, Risk Management

  • Job type:


  • Salary:


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  • Published:

    about 1 year ago

Regulatory Adviser         

The role will act as a key point of contact for the Regulatory Advice team, and work closely with the wider Risk & Compliance function. The role holder will perform risk based monitoring within all areas of the business to ensure adherence to business, legal and regulatory standards and to carry out monitoring activity to help mitigate against risks as identified by the Group Risk Management Committee. 

Key responsibilities include:

  • To create the risk based monitoring programme, to implement and deliver this programme to the required processes and standards within the Regulatory team, monitoring techniques will include field (on-site) and desk based.
  • To track, collate and communicate the risk based monitoring programme results to Managers and Staff within the business.
  • To have a responsibility for conducting monitoring on non-advice areas; such as investment, operations, finance and HR. 
  • To work closely with the Risk Department to ensure results of monitoring are incorporated into the Risk Framework.
  • To ensure that Remedial Actions arising from monitoring activity are completed, any training needs identified, Action Plans implemented and followed through by Managers and procedures or systems are changed to prevent re-occurrence.
  • To ensure understanding of the business regulatory standards and controls by Managers and staff both across the Private Wealth and Corporate functions of the business to identify risk.
  • To operate L&R policies and procedures as defined.
  • To maintain and operate effective risk based monitoring procedures, processes and tools.
  • To carry out and implement business projects and engage in liaison with external bodies including third party suppliers and other professional bodies engaged to work with the business.

The Person:

  • Ideally Investment Compliance Diploma (minimum Investment Operations Certificate) or requisite knowledge and experience in the Financial Services Industry 
  • Good understanding of retail investment products, FCA regulated financial services firms and Discretionary Fund Management 
  • A comprehensive working knowledge of the Financial Services and Markets Act, FCA Handbook, Principles for Business
  • Ability to extract and identify issues of potential risk

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.