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
Support the organisation in managing financial crime risk by conducting client due diligence reviews and investigating potential instances of fraud.
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.
Serve as a point of contact for complex or non-routine regulatory queries, taking appropriate action to ensure timely and effective resolution.
Maintain the Regulatory section of the intranet by updating content with new documents and revisions and removing obsolete material.
Draft and update policies and guidance to a high standard, ensuring accuracy and suitability for the intended audience.
Prepare and circulate the monthly Regulatory Bulletin.
Review and assess the organisations Financial Promotions to confirm factual accuracy and compliance with regulatory standards.
Produce Management Information to keep the Compliance Manager and Head of Risk and Compliance appropriately informed of activities within the L&R teams.
What you will need
Good understanding of regulations applicable to a financial services firm offering financial advice and discretionary management services
Strong understanding of financial crime, including anti-money laundering, anti-bribery and corruption and fraud
Understanding of Data Protection regulation, including the GDPR
Industry experience in a relevant role in an FCA authorised financial services firm
Working within a multifaceted team and with a range of stakeholders
Interpreting the requirements of the FCA Handbook
Communicating effectively with stakeholders
Effective time management, including prioritising work and meeting deadlines
Writing communications and policy for a wide audience
Data analysis using Excel
By joining Chase de Vere, youll have a progressive career with great benefits and a nurturing culture that makes you part of something special.
Alongside a competitive salary with the opportunity to earn an annual bonus, we also provide the below benefits:
25 days annual leave (increases to 30 days with service) plus Bank Holidays
Contributory pension scheme
Life assurance 4 x annual salary
Comprehensive induction and training programme
Funded exams and paid study leave
A wide range of voluntary flexible benefits to suit your individual needs
The option to buy additional holiday days
Cycle to work Scheme
Paid volunteering days each year
Employee Assistance Programme with access to a 24/7 helpline
Access to our free mortgage service, through our internal mortgage team
Our Employee Forum and Diversity & Inclusion group
Local and companywide events in support of our company charities
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