Compliance & Risk Specialist

To support the Manager - Risk & Compliance (Technical Compliance), in the satisfactory delivery of compliance services to the Company.

Technical compliance delivery of services will include: providing day to day compliance support and guidance for the business. Monitoring and interpreting regulatory rules and requirements, meeting regulatory reporting requirements and supporting general communications with the regulator, supporting the delivery of obligations for the group for anti-money laundering, financial sanctions monitoring and SOCA reporting, proof reading and approval of suitability report standards and other technical material, financial promotion approvals and providing compliance support to the business in delivering both individual projects.

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.

Assists in the checking, commenting on and approval of suitability report standards and technical material requiring Compliance sign off.

Carries out regular AML cancellations/Financial Sanctions monitoring.

Assists in the maintenance of the Compliance Guide.

Assists in vetting all FSA Approved Person applications prior to FSA submission.

Provides day to day technical support to the business.

Assists in the co-ordination and preparation of the FSA Retail Mediation Activities Return and other periodic FSA reporting.

Must have experience of delivering wide ranging regulatory guidance and solutions in a commercial environment

Certificate in Financial Planning (minimum). Diploma qualification preferred

Working and up to date knowledge of relevant regulatory rules and guidance within the FSA Handbook

Exposure to and understanding of FSA Financial Promotion rules and guidance

Exposure to and understanding of FSA Money Laundering requirements

Experience of interpreting, understanding and applying the FSA rules to achieve business focused outcomes

Experience of working in both project and business environments