Regulatory Compliance Adviser - Investment/Wealth Management

1 day left

Oval Recruit
City Of London, London
22 Jul 2017
21 Aug 2017
Contract Type
Full Time

Regulatory Compliance Advisor - Investment/Wealth Management

Leading UK Retail Investment Operation, Based City of London

£55,000 - £65,000 + Excellent Package & Bonus

This is an excellent opportunity for an experienced Compliance Adviser to join a leading UK Retail Investment Operation as a Regulatory specialist within their UK Compliance team. Reporting to the Senior Compliance Manager, you will be responsible for providing oversight and direction on all regulatory matters, including projects, reporting and complaint handling. This will include:

• Delivery of regulatory reports and provide advice and support on all regulatory projects
• Lead on all regulatory reports and responses
• Advise senior management on all regulatory affairs and brief on regulator engagement
• Contribute to the delivery of effective Regulatory reporting
• Review and assess all regulatory developments and their impact on the Group
• Support responses to consultations and assist in implementing necessary changes to policies, systems and procedures
• Work closely with all departments, internally and externally to ensure work in delivered to a high standard
• Above all, play a key role in the organisations response to FCA and PRA rules and guidance, particularly those relating to COBS, SYSC, DISP, SUP, TCF and Conduct Risk.

To be successful in this role, you should have had experience of the following:

• Proven working knowledge of the UK Regulatory environment and how it relates to the UK Investment and Financial Services industry
• Experience of working in UK Financial Services, Investment or Advisory sectors
• Understanding of Retail investment would be a distinct advantage
• Excellent communication skills with an ability to deal with a wide variety of individuals, both internal and external
• Proven track record of implementing and interpreting regulatory change

In return, our client offers:

• Excellent working environment in a progressive, developing organization
• Excellent Basic, Package and Bonus (20%)

For more information, please contact Edward Groves