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)
* Provide compliance advisory support to financial planning and investment management teams.
* Support the creation, maintenance and implementation of compliance policies and staff training.
* Contribute to business acquisition projects by ensuring regulatory requirements are incorporated.
* Assist in managing incidents, breaches and risk events, including maintaining central records, undertaking root cause analysis and recommending control improvements.
* Review and approve financial promotions and marketing materials.
* Identify and assess potential conflicts of interest and maintain the conflicts register.
* Support the handling of Data Subject Access Requests (DSARs) in line with internal processes.
* Prepare and submit regulatory reports, returns, notifications and applications.
* Assist in complaint investigations, including producing oversight MI and identifying themes.
* Produce compliance MI for senior management, boards and committees.
* Provide support or deputise for the Head of Compliance on ad-hoc projects.
* Promote a strong risk and compliance culture within the organisation.
* Manage FCA Directory / SM&CR-related submissions.
* Support professional indemnity insurance (PII) renewals and associated information requests.
Person Specification (Summary)
Experience & Knowledge
* Approximately 10+ years’ experience in compliance, ideally in a wealth management or financial advisory environment.
* Strong understanding of FCA requirements, particularly COBS, SYSC and DISP.
* Experience applying best practice compliance frameworks within regulated financial services.
* Ability to analyse and resolve complex compliance issues and propose practical, compliant solutions.
Skills & Attributes
* Strong communication skills, with the ability to work constructively with stakeholders at all levels.
* High attention to detail and accuracy.
* Confident, pragmatic and able to challenge where necessary.
* Proficient in Microsoft Word, Outlook, PowerPoint and Excel.
* Strong written and verbal communication abilities.