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Senior Compliance Advisory Consultant-Investments & Stockbroking

  • Location: Leeds
  • Salary: £50,000 - £60,000 per year
  • Job Type:Permanent

Posted about 1 month ago

  • Sector: Compliance
  • Contact: Michael Ayres
  • Expiry Date: 07 August 2022
  • Job Ref: MA/19289LS

Long standing, well known Investment business are looking to expand their Compliance team with the addition of a Senior Compliance Advisory Consultant.

With offices in both Leeds and Manchester, the role can be based out of either location with flexible home / office working also an option.

The role holder will support the compliance management team in the provision of a reliable and responsive advisory service on matters of regulatory interpretation, internal policy and process requirements to ensure compliance with new or existing regulations.

Key Responsibilities:

Regulatory Change Management

In addition to providing responsive technical advice, the Senior Compliance Consultant works with the wider Compliance team to ensure delivery of the Compliance Regulatory Change Management Process.

Financial Crime

Respond to matters escalated to Compliance due to the identification of suspicious activity or identified through the Enhanced Due Diligence process. Contribute to the development and maintenance of financial crime risk assessments and for the preparation of reports for Executive Management and the Board.

Data Protection:

In addition to advising on technical matters, review and approve Vendor Engagement Forms and Data Protection Impact Assessments.

Other Accountabilities:

• Supporting Compliance Management with the development of less experienced Compliance colleagues

• Representing the Compliance function at relevant working groups and/or committees

• Preparation of summaries, presentations, briefing notes and any other required documentation to effectively report on regulatory matters

• Submission of regulatory returns

Candidate Overview:

The successful candidate will have a broad range of compliance experience providing advisory services across a wide range of regulatory matters to include:

• Business Conduct (Consumer duty, CASS, Product Governance, Financial Promotions, and customer vulnerability)

• Financial Crime

• Data Protection

• Transaction Reporting

• Pensions Regulation​