Support the Compliance Director in the provision of high quality advice to the business on regulatory and compliance matters and in the ongoing development and enhancement of the company’s compliance and regulatory risk management arrangements.
Key responsibilities include:
- Developing and implementing group and company policies to meet legal, regulatory and business requirements.
- Providing clear, accurate and timely advice on regulatory matters, including the application of relevant requirements in the FCA Handbook.
- Reviewing business operations and procedures to ensure that they remain compliant with policies and procedures and relevant regulatory requirements.
- Monitoring regulatory developments and advising on their relevance and implications for the company and any actions needed to prepare for compliance.
- Drafting compliance policies and procedures, seeking input from stakeholder and educating end-users on new requirements.
- Prepare and deliver high quality training to staff on regulatory matters
- Undertaking compliance reviews or investigations and working with the relevant business area to ensure that appropriate remedial actions are identified and implemented.
- Accurate and timely completion of regulatory returns and forms and submitting these via FCA Connect and GABRIEL.
- Review of financial promotions
- Undertaking regulatory due diligence for potential acquisitions and reporting on findings
- Compiling data in response to FCA or other information requests.
- Representing Compliance in business projects and assisting with regulatory change projects as directed.
- Strong knowledge of the UK regulatory framework and the FCA Handbook
- Understanding of wealth management including the advice process and products
- 5 yrs or more in a financial services environment, preferably wealth management
Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.
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