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Senior Compliance Adviser

  • Location

    Staffordshire

  • Discipline:

    Compliance

  • Job type:

    Permanent

  • Salary:

    c£50,000 - £55,000 + benefits

  • Consultant:

    Paul Sherlock

  • Email:

    psherlock@merje.com

  • Job ref:

    PS/15206

  • Published:

    11 days ago

Our client is a well-known Financial Services business who are currently looking to recruit a Senior Compliance Adviser to work as part of the firms Advice & Policy team. In this role you will provide compliance support in relation to compliance with the Financial Conduct Authority’s (FCA) and other relevant regulations across FCA related ABI matters, Financial Ombudsman Service guidance, data protection and AML/financial crime prevention legislation.

Duties:

  • Identify relevant regulatory developments.
  • Interpret regulatory developments accurately and in a timely way, ensuring appropriate actions are taken, engaging with the wider business as appropriate.
  • Review financial promotions and key customer communications for compliance with applicable rules and guidance and provide comprehensive, and constructive feedback.
  • Provide comprehensive, pragmatic advice on business as usual activities and change initiatives across the entire customer journey.
  • Review and update regulatory authorisations, permissions and licences.
  • Support the HR team in the management of approved persons and key function holders.
  • Oversee the implementation of actions to ensure breaches are dealt with effectively and conduct regulator notifiability assessments.
  • Input into the review of Group Policies and the Governance Map.
  • Provide guidance on the content of regulatory training material and initiatives.

Requirements:

  • Knowledge of FCA regulatory requirements ideally across one or more of the following areas; life and pensions, mortgage advice and general insurance.
  • Excellent knowledge of the Data Protection Act, associated requirements and current developments.
  • Ideally some knowledge of AML/financial crime matters.
  • Experience of representing the compliance function as part of a project team in relation to regulatory changes, product developments and business initiatives.