Senior Compliance Adviser

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  • Salary:

    £35,000 to £40,000

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  • Published:

    about 2 years ago

Job Description:  

My client is one of the UKs largest and long established debt management companies.

The purpose of this role is to provide compliance advice, guidance and support on regulatory practices and issues relating to the relevant regulatory bodies such as the FCA, IPA and the MOJ whilst identifying up stream risks.

Key responsibilities include:

  • Assist the Compliance Advice team in preparing the debt businesses in readiness for any FCA or other regulatory activity.
  • Advise on compliance standards for debt business areas to follow, which enable compliance to be achieved in a commercially effective manner.
  • Interpret and communicate FCA and other regulatory requirements to ensure that all business areas are aware of the regulatory requirements relevant to their operations.
  • Contribute to Compliance team activity which provides compliance advice to debt business areas.
  • Provide compliance guidance to all relevant levels of the company in respect of business as usual, new products and new business initiatives as required.
  • Engage with and challenge business areas (including all levels of senior management) when discussing compliance issues; influencing effectively resulting in real change across the business.
  • Advise and assist the debt business areas towards their development and implementation of suitable action plans to mitigate new regulatory risks identified.
  • Demonstrate a pro-active approach to compliance awareness and education across all business areas.
  • Contribute as required to the Ethics programme and the Training and Competency scheme.
  • Assist the compliance advice team to ensure all FCA and other regulatory reporting is carried out in a timely manner. 

The Person :

  •           2-3 years previous compliance experience
  •           Regulatory knowledge – particularly SYSC, CONC, PERG, CASS
  •           Ability to communicate clearly with staff of all levels, including senior management
  •           Experience in advising and giving guidance on all areas of compliance
  •           Ability to foster and maintain a compliance culture