Our client is seeking a Compliance and Advice Officer to join their team where you will be working as a Business Partner to both the business and clients. You will ensure adherence with internal policies and external regulatory requirements, monitoring, advising and reporting on compliance risks and issues.
The successful candidate will be a versatile Compliance professional with expertise in Pensions and FCA regulations.
Your day-to-day activities will include:
1. Support the business and clients on understanding regulatory policy, procedures and process
2. Support and advise on how regulated process work pre and post client implementation
3. Advise on regulatory enhancements and controls working closely with the risk business partner and /team
4. Work closely with the Compliance lead and compliance team to support regulatory changes that may affect the business and clients
5. Assist in implementing any regulatory changes to SOPs required (and necessary guidance and training provided)
6. Advise on regulatory queries from the 1B, 1LOD teams and more broadly from the business and/clients
7. Support the Compliance Lead and the work closely with Risk to review the emerging risks, breaches and support on remediation projects
8. Support on regulatory training and guidance
9. Support regulatory projects and initiatives
10. Support to develop, implement, and maintain compliance policies and procedures
11. Monitor regulatory developments and work closely with the Compliance team and lead to ensure timely updates to internal controls
12. Support with conducting reviews to identify potential compliance issues
13. Prepare and submit compliance reports to senior management
14. Investigate and support to resolve compliance breaches or concerns
15. Maintain records of compliance activities and decisions
What Knowledge, Skills & Experience We Need
16. Proven experience advising on policies and SOPs as well ongoing advisory regulatory interpretation, covering both pensions and retail investments
17. Experience in senior stakeholder management
18. Good working knowledge of ISAs, Investments and Pensions, and Consumer Duty is mandatory
19. Regulatory knowledge and experience in pensions, FCA, and PSR regulations
20. The ability to work independently and as part of wider team globally
21. Strong communication skills both written and verbal
22. Professional manner with the ability to influence and persuade
To express your interest in this opportunity, don’t delay; please click apply now.
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