up to £65,000 + Bonus + Benefits
over 2 years ago
My client is one of the UKs largest financial adviser groups providing an extensive range of services.
They are currently looking to appoint an individual to provide regulatory advice and analysis to support the development of the groups compliance policy and business standards to manage the exposure to regulatory and conduct risk within the risk appetite of the business. You will also be expected to author and communicate changes of business standards across the operation.
Key responsibilities include:
- Undertake horizon scanning to ensure the firm considers all relevant external policy developments which have the potential to influence its business activities, ensuring they are kept fully up-to-date;
- Undertake assessment of the impact of regulatory change on the groups policies/business standards, producing options and recommendations for Committees;
- Prepare responses to major FCA consultations;
- Review and develop existing guidance/procedures provided to the group, including maintenance of the Business Standards;
- Provide practical support on regulatory matters, for example through the production of guides and presentations;
- Production of monthly management and Board reports on policy developments and compliance standards;
- Input into adviser CPD programme to ensure meets regulatory knowledge requirements;
The successful candidate will be experience in financial services and have a knowledge of compliance / regulatory risks facing a financial advice firm, including pensions and the broader financial service regulation.
Salary range is entirely commensurate with experience and will reflect the significance of the role.
Please note, should you not receive feedback 28 days, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.