Regulatory Onboarding Specialist
Department: Compliance
Employment Type: Permanent - Full Time
Location: Huddersfield
Reporting To: Head of Compliance Services
Description
This is more than just a compliance admin role! If you've got some experience in financial services compliance and are looking to become more customer facing and progress your career, then please read on!
Role Overview: Internally, this role is known as Authorisations Coordinator. You'll take ownership of guiding member firms through the full FCA Direct Authorisation journey, acting as their dedicated point of contact from initial application through to approval. You’ll manage multiple applications simultaneously, ensuring deadlines are met while maintaining accuracy and high standards.
Building strong relationships, you’ll gather and assess information, compile high-quality FCA submissions, and liaise with both applicants and the FCA to keep processes on track. You’ll also provide ongoing support, responding to queries and advising on wider approval processes, including Variation of Permission and Senior Management applications.
What you'll do
* Helping member firms from the very start of the process right the way through to the end of the Direct Authorisation process and the firm being successfully authorised.
* You will be the firms point of contact throughout the entire process.
* You will have multiple applications on the go at all times and therefore it is essential you are able to manage workloads, prioritise and meet FCA deadlines.
* Create and maintain effective relationships with member firms to ensure a full understanding of the FCA authorisation process.
* Efficiently gather all information required to compile an FCA application.
* Ensure FCA application completed to the required standard, ensuring accuracy and thoroughness.
* Liaise with the applicant and FCA regarding the status of the FCA application ensuring that all parties’ expectations are maintained.
* Provide support and guidance to the applicant firm in responding to any FCA queries.
* Ensure information is kept up to date regarding the status of all your applications.
* Be able to provide assistance to member firms regarding other FCA approval processes i.e. Variation of Permission applications and Senior Management applications.
What you'll need to succeed:
Essential requirements
* Previous compliance experience
* Financial Services qualifications
* Financial Services industry experience
* Proficient in Microsoft Office Word and Excel systems
Desirable requirements
* Willingness to do further financial services qualifications
* RO1 or equivalent
Your approach to work:
* Organised, practical and process driven.
* Excellent communication skills.
* Ability to work under pressure.
* Ability to manage expectations.
* Professional attitude with the ability to work under own initiative as well as part of the team.
Important to know:
Location
Huddersfield. This is a hybrid working model. You'll work from the office with the team 3 days each week with the remaining 2 days from home.
Right to Work
Applicants must already hold a legal right to work in the UK without time restrictions and without the need for future sponsorship. We are unable to provide Skilled Worker visa sponsorship.
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