Job Description
Role Summary
This role supports the Head of Compliance / MLRO in delivering all aspects of regulatory compliance across the firm. The position provides day-to-day advisory support to business and operational teams, ensuring regulatory requirements are understood, met, and embedded throughout the organisation.
Key Responsibilities (Summary)
1. Provide compliance advisory support to financial planning and investment management teams.
2. Support the creation, maintenance and implementation of compliance policies and staff training.
3. Contribute to business acquisition projects by ensuring regulatory requirements are incorporated.
4. Assist in managing incidents, breaches and risk events, including maintaining central records, undertaking root cause analysis and recommending control improvements.
5. Review and approve financial promotions and marketing materials.
6. Identify and assess potential conflicts of interest and maintain the conflicts register.
7. Support the handling of Data Subject Access Requests (DSARs) in line with internal processes.
8. Prepare and submit regulatory reports, returns, notifications and applications.
9. Assist in complaint investigations, including producing oversight MI and identifying themes.
10. Produce compliance MI for senior management, boards and committees.
11. Prov...