Senior Regulatory Development Manager – Investment Manager & Financial Planning

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    £70,000 - £90,000

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  • Published:

    almost 3 years ago

Opportunity to join an award-winning firm which provides financial planning, investment management and investment advisory services to private clients.

The purpose of the role is to monitor the regulatory change horizon, providing information to senior management and the wider business, through analysing proposed regulatory changes and their relevance to and impact on the company.

This is a key role and will include providing highly technical guidance and support to the business in a clear and concise manner. You will also represent compliance and regulatory viewpoints on projects and wider business initiatives and, where appropriate, on industry forums.


  • Develop a thorough approach to horizon scanning which ensures coverage of all relevant regulatory publications and websites.
  • Monitor and report on relevant regulatory developments identified from scanning activities affecting the business including:
    • FCA Handbook Developments
    • discussion papers
    • thematic reviews
    • guidance papers
    • consultation papers
    • policy statements
  • Produce regulatory development updates, in various formats, as required, for the Risk & Compliance team, the wider business, senior management and specific business lines.
  • Provide specialist compliance input, advice, support and rules interpretation to both line and project managers on projects and business developments in order that they meet regulatory requirements.
  • Ensure that the wider Risk & Compliance team is provided with an in-depth analysis of the FCA’s annual Business Plan to ensure all relevant issues are captured in the annual Compliance plan.
  • Represent Compliance at project team meetings and at other forums, including external forums where relevant.


  • 4-6 years’ experience gained working in regulatory advisory or policy compliance role within the wealth/investment management or financial planning sector.
  • Must be able to demonstrate significant technical experience of delivering wide-ranging regulatory guidance and solutions in a commercial environment in a medium to large wealth management organisation.
  • Excellent drafting, written and verbal communication skills.
  • Ideally, exposure to and understanding of FCA systems such as GABRIEL and processes related to FCA returns, permissions and approved person applications.
  • Up to date knowledge of relevant regulatory rules and guidance within the FCA Handbook, particularly COBS, SYSC, CASS sections as well as GENPRU, IFPRU and BIPRU changes.
  • Able to demonstrate significant experience in interpreting, understanding and applying the FCA rules to achieve business focused and commercial outcomes.
  • Ability to influence at all levels and build rapport.
  • Ability to sell difficult messages to all levels within the organisation and with the necessary persistence to follow it through and market regulatory change in a positive way.