1. Complete and submit Senior Management Function applications as necessary.
2. Provide regulatory guidance to first line business functions, the field and the partnership.
3. Lead in the preparation of content for periodic Compliance reports to Senior Management.
4. Deal with Pension attestations required by the business and arrange for CRO signature.
5. Provide support to the business on SMF and NED F&P issues.
6. Complete any FCA thematic review meeting actions that require Advisory Compliance input.
7. Provide advice to the business, field and partnership in relation to any potential conflicts of interest.
8. Complete FCA notifications in an accurate and timely manner.
9. Manage the FCA Liaison Inbox and associated queries.
10. Create and update SMCR regulatory documents for SMFs.
Who we’re looking for:
11. Experience of first or second-line compliance activity, preferably in a wealth management and financial advice environment.
12. Ideally experience in providing Compliance Advisory services to wealth management and wealth planning firms that have retail client offerings.
13. Regulatory knowledge, in particular PRIN, SYSC and COBS. Some product knowledge, including pensions, collective investment schemes and other investment products.
14. An understanding of Consumer Duty and the AR Regime regulatory changes.
15. An understanding of the SJP Group structure and senior manager responsibilities.
16. General and SJP specific product knowledge including pensions, investments, mortgages and protection.
17. Develop skills to answer information requests from FCA and PRA and determine whether SJP meets the regulatory requirements set out by appropriate regulator.
18. Able to analyze and communicate regulatory requirements to first line management.
19. Strong interpersonal skills and organizational skills.
Special Requirements:
20. May be required to travel to other office locations from time to time.
21. Must be able to deliver to important deadlines which may mean working flexibly out of normal hours occasionally.
What's in it for you?
22. Non-Contributory Pension – 10% (increasing with length of service up to 15%) with further pension matching.
23. Parental leave – 6 months full pay
24. 28 days holiday entitlement plus bank holidays (based on full-time equivalent) with the option to buy up to an additional 5 days holiday
Flexible Working
We know that everyone works best indifferent ways, at different times and in different environments. We haveintroduced a hybrid working policy to provide greater flexibility for part-timework, job-sharing, remote working, and flexibility on hours. Our people areencouraged to work in a flexible way that suits their lifestyle, so please askthe question and start a conversation!
Research tells us that applicants(especially those from underrepresented groups) can be put off from applyingfor a role if they do not meet all the criteria or have been on an extendedcareer-break. If you think you would be a good match for this role and candemonstrate some transferable experience please apply, regardless of whetheryou tick every box.
Reasonable Adjustments
We're anequal opportunities employer and want to ensure our recruitment process isaccessible and inclusive for all, if you require reasonable adjustment(s) atany stage please let us know by emailing us at