We are working with a leading wealth management firm that is looking to appoint an experienced Compliance Specialist. 

The role is responsible for providing risk based 2nd line compliance monitoring and providing compliance advice to business units, helping to ensure that all activities are carried out within the regulatory framework. Using knowledge and experience of the regulatory landscape and consumer duty expectations and requirements you’ll provide appropriate challenge and support to the business.

Key Responsibilities:

• Supports the Risk and Compliance Director in the development and delivery of the risk assessment and Compliance Plan setting out an appropriate programme of risk-based compliance assurance activities
• Undertakes a variety of monitoring and assurance activities including compliance-based audits and risk assessments.
• Advises business areas, as appropriate, on recommended control improvements actions, driving ownership, accountability and timely completion of actions.
• Provides compliance consultancy to key stakeholders at all levels across the business to appropriately identify and manage conduct risk and support the continued development of a customer-centric culture
• Develops and maintains effective working relationships with first line operational management and key stakeholders
• Supports and pro-actively works with the Risk and Compliance Director to effectively manage and deliver FCA regulatory visits, requests and thematic reviews to a high standard, enhancing our relationship with the regulator.

Key Skills & Experience

• Operational compliance experience in financial services industry, in a 2LoD capacity.
• Strong understanding and experience of 2LoD compliance monitoring techniques and regulatory requirements.
• Level 4 Diploma Financial Planning or similar level of professional qualification to the role
• Maintains up to date knowledge of the regulatory landscape and emerging industry risks
• Good knowledge of regulatory framework, particularly conduct risk and Conduct of Business Rules
• Working knowledge of data protection legislation and financial crime frameworks.
• Up to date knowledge of relevant FCA Handbooks e.g. COBS, T&C, SYSC, ICOB, MCOB
• Good market, risk and business awareness.

Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.

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