Our Client is well known throughout the Financial Services Industry and operates within the IFA Market. They are now looking to meet with an experienced Compliance & Regulatory / Risk Consultant.
The Candidate for this role
A unique and interesting role ......
This role is not that of a traditional Compliance Auditor. Our Client work's with Banks, Nationals and other Client Type's who are considered to be bespoke! Therefore they can be called upon to complete due diligence work to support merger and acquisitions, draft proposals and see through to conclusion outsourcing contracts, DFM support, challenging firms on investment process / investment committee etc.
This role will also suit someone with Banking / Retail Banking Experience and not just someone who has IFA / Wealth Management Experience.
Our Client is more than happy to consider someone with the right credentials & experience that resides anywhere else within the UK.
Purpose of the Role:
Working from home, your role will be to develop and assist with the delivery of directly authorised regulatory policy and support Our Client's strategy and service propositions to enable delivery of a first class and proactive service to clients, whilst ensuring regulatory information and guidance is communicated effectively to key internal and external stakeholders. To provide technical and product specialist financial planning support to clients, staff and external contacts.
· Accountability for monitoring the output of the FCA/other relevant regulatory organisations to assess the impact of relevant publications on On Our Client and its clients and communicate in a timely manner.
· Support for the technical helpdesk facility with member queries on technical financial planning issues including pensions, investments, corporate advice, protection, taxation and trusts during business hours.
· Produce timely and relevant written compliance information and guidance for distribution to internal staff and it's clients.
· Take accountability for resolution of complex regulatory queries escalated from client meetings.
· Where necessary, interact with the FCA and other regulatory organisations to resolve points of interpretation.
· Produce regulatory articles, training and presentations for delivery within the business and/or in external communications.
· To provide or undertake work for others teams in support of the business requirements including: File reviews, technical oversight or technical input incorporate the main areas of financial advice
· Assist with development and hosting of bespoke customer training / meetings/ delivery of projects at client or external premises. Representing Our Client professionally at both their's and Industry events.
· Assisting in the design and application of compliance standards for product sales, by the creation and upkeep of suitability checklists and best practice guidance for use by Our Clients firms and teams
· Keep up to date with technical and product developments within the industry and highlight relevant information to other members of the team and the compliance policy team.
Skills Experience & Qualifications Required:
- Level 4 Diploma Qualification
- Experienced gained working on a Technical Helpline
- Experience of a Compliance Focussed Environment
- Comprehensive all-round up to date Technical / Product knowledge and understanding of relevant knowledge of Legislation / Regulation gained in a similar level position
This is a very different & interesting role with an Excellent Salary, Benefits Package & Car Allowance!
- Level 4 Diploma Qualified
- Compliance / Regulatory Experience
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