Senior Compliance Advisory Consultant

  • Location

    Cheshire East

  • Discipline:


  • Job type:


  • Salary:

    to £65,000 + Bonus + benefits

  • Consultant:


  • Email:


  • Job ref:


  • Published:

    over 1 year ago

My client is a very well-known and reputable financial services organisation who are currently looking for an individual to undertake this varied and exciting new role.

The main purpose of the role is to provide advice and oversight to the 1st line business leadership teams in their active management of regulatory and conduct risks within the overall Group risk management framework and track the effective mitigation of those risks. 

Acting as Subject Matter Expert (SME) for regulatory processes impacting their respective Commercial business units you will also provide technical input into any projects related to that work as may be required.

Key responsibilities include:

  • Provide effective 2nd line oversight and assessment of regulatory and conduct risks, aligned to the Compliance Advisory Framework.
  • Act as the Subject Matter Expert (SME) for regulatory processes impacting the Group and provide technical input into any projects related to that work as may be required.
  • Add value to the first line business areas through the delivery of insights, practical guidance and training on regulatory matters such as key legislative/regulatory change, supervisory relationships, effectiveness of control design and performance, learnings from other business areas
  • Provide guidance and challenge to business projects dealing with business and regulatory change so that such projects deliver compliant solutions.
  • Review significant breaches reported by business areas, to assess if the business is properly dealing with all regulatory consequences and that the Central Compliance team has all required information to consider whether a regulatory notification is required.
  • Attend key service review meetings with Outsourcers and other relevant external parties and review all relevant papers for that meeting.

The Person:

  • Minimum 5 years’ experience in a compliance/assurance role
  • Strong relevant experience in protection, pensions and savings products
  • Good working knowledge of all relevant designated regulations
  • Ability to build and maintain positive business relationships
  • Good presentational, written and oral communication skills

Salary is entirely commensurate with experience but will reflect the significance of the role.  The role will also qualify for a bonus and a comprehensive benefits package.  

The role is initially being recruited for on a Fixed Term Contract for a 2-year period.

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.