This role seeks to support colleagues within the business by providing guidance and support internally an all matters relating to regulation and compliance. The role holder will be a key point of contact for the Legal & Regulatory function and will be help ensure regulatory requirements are communicated to the business, through the Regulatory Bulletin, the Legal and Regulatory Helpdesk and delivering training.

Key responsibilities include:

• To write policies and guidance to a high standard, ensuring these are accurate and appropriate for their audience.  
• To act as a point of contact for regulatory queries of a non-routine / complex nature, taking the appropriate action to ensure it is dealt with in a timely and effective manner.
• Maintain the Regulatory section of the intranet by uploading new documents and updates, whilst removing any obsolete material.
• Support business initiative and projects from a regulatory perspective, ensuring the correct culture is embedded within the decision making and identifying any concerns to Head of Risk and Compliance.    
• Prepare and distribute the monthly Regulatory Bulletin.
• Review and assess the business’ Financial Promotions ensuring that they are factually accurate and meet regulatory requirements.
• To produce Management Information to ensure the Head of Risk and Compliance is kept suitably informed of the activities undertaken by the teams within L&R.

The Person:

• Industry experience in a relevant role in an FCA authorised financial services firm
• Good understanding of regulations applicable to a financial services firm offering financial advice and discretionary management services
• Interpreting the requirements of the FCA Handbook

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.