Compliance Adviser - Leading Financial Services Firm - City GBP65,000

JFJ Associates Limited
65000.00 GBP Annual + + Bonus + benefits
08 Aug 2017
16 Aug 2017
Contract Type
Highly successful, well established and rapidly expanding Financial Services firm are seeking an experienced Compliance professional to help support the team in delivering a wide variety of regulatory objectives including new compliance initiatives and regulatory projects, analysis of regulatory developments, regulatory reporting and strengthening the current complaints handling process.

Duties will include:

Provide advice and support on regulatory projects

- Leading on delivering various regulatory reports and responses.
- Advising and supporting thematic and data requests including the complaints handling process.
- Supporting senior management briefings and regulator engagement and visits as needed.
- Advising on applicable rules and regulations and provide guidance on regulatory queries.
- Supporting the Compliance team to maintain robust arrangements for providing advice to the Group on applicable FCA, PRA and Isle of Man FSA regulation.
- Contributing to internal and external consultations, including responses, discussions and policy debates
- Contributing to the delivery of timely and effective reporting to the Boards, Committees and Forums
- Actively reviewing and assessing the impact of regulatory developments affecting the Group.
- Taking responsibility for designing, producing and managing compliance processes and management information

Suitable candidates will have a minimum of 5 years Compliance experience in Investment Firms, Regulatory Bodies or Consulting, or the Insurance sectors. Practical knowledge of the FCA and PRA rules particularly relating to COBS, SYSC, CASS, TCF and Conduct Risk.