Compliance and Advice Officer

What’s the role?

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.

Tell me more

• Location: Hybrid/Bath
• Rate: Up to £54k DOE + Bonus
• Work Pattern: Standard Business Hours
• Start Dates: ASAP
• Duration: Permanent

Responsibilities:

• Support the business and clients on understanding regulatory policy, procedures and process
• Support and advise on how regulated process work pre and post client implementation
• Advise on regulatory enhancements and controls working closely with the risk business partner and /team
• Work closely with the Compliance lead and compliance team to support regulatory changes that may affect the business and clients
• Assist in implementing any regulatory changes to SOPs required (and necessary guidance and training provided)
• Advise on regulatory queries from the 1B, 1LOD teams and more broadly from the business and/clients
• Support the Compliance Lead and the work closely with Risk to review the emerging risks, breaches and support on remediation projects
• Support on regulatory training and guidance
• Support regulatory projects and initiatives
• Support to develop, implement, and maintain compliance policies and procedures
• Monitor regulatory developments and work closely with the Compliance team and lead to ensure timely updates to internal controls
• Support with conducting reviews to identify potential compliance issues
• Prepare and submit compliance reports to senior management
• Investigate and support to resolve compliance breaches or concerns
• Maintain records of compliance activities and decisions

Essential skills & experience required:

• Proven experience advising on policies and SOPs as well ongoing advisory regulatory interpretation, covering both pensions and retail investments
• Experience in senior stakeholder management
• Good working knowledge of ISAs, Investments and Pensions, and Consumer Duty is mandatory
• Regulatory knowledge and experience in pensions, FCA, and PSR regulations
• The ability to work independently and as part of wider team globally
• Strong communication skills both written and verbal
• Professional manner with the ability to influence and persuade