The Regulatory Policy Adviser plays a key role in supporting Chase de Veres compliance framework and ensuring adherence to regulatory requirements.
The successful candidate will contribute to the firms ongoing commitment to uphold robust compliance and regulatory standards. The Regulatory Policy team collaborates closely with other teams, including Business Quality, Complaints, Internal Errors, Compliance Monitoring, and Risk Managementto ensure that the business remains aligned with evolving regulatory requirements and best practices.
What your role will involve
1. Support the organisation in managing financial crime risk by conducting client due diligence reviews and investigating potential instances of fraud.
2. Administer the training and competence scheme, including assisting advisers on their path to achieving competent adviser status, supporting the broader business in complying with SM&CR requirements, and overseeing the management of specialist licence controls.
3. Serve as a point of contact for complex or non-routine regulatory queries, taking appropriate action to ensure timely and effective resolution.
4. Maintain the Regulatory section of the intranet by updating content with new documents and revisions and removing obsolete material.