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Compliance Analyst

4 months ago

Greater Bristol Area, United Kingdom Robert Half Full time

Compliance Analyst - Wealth Management

Bristol Area (1-2 days a week in office)

£35k - £45k DoE

Minimum of 1-2 years experience within Compliance or as a Paraplanner


Role Overview: The Compliance Analyst will assume a pivotal role in our commitment to regulatory compliance and fostering positive customer outcomes under the FCA’s Consumer Duty requirements. Working closely with the Group Head of Compliance, they will be instrumental in ensuring strict adherence to regulatory mandates while championing excellence in customer outcomes and customer service.


The primary focus will centre on ensuring compliance with the Consumer Duty specifically within the advisory functions of the organisation. This entails providing robust support to our advisors, ensuring they uphold the highest standards of advice quality and professionalism through comprehensive training and competence programs. The analyst’s efforts will be essential in safeguarding both regulatory compliance and our clients' best interests, reinforcing our reputation as a trusted financial services provider.


Key Responsibilities:

  • Conduct regular reviews and assessments of financial advice processes and client interactions to ensure compliance with regulatory requirements (Consumer Duty specifically) and internal policies.
  • Provide guidance and support to staff members regarding compliance issues, particularly related to financial advice and customer interactions.
  • Collaborate with the Group Head of Compliance to identify areas for improvement in processes and procedures related to financial advice and customer outcomes.
  • Assist in the development and delivery of training programs to ensure staff members are knowledgeable and competent in providing quality financial services to clients.
  • Monitor industry trends and regulatory developments related to financial advice and customer outcomes, and implement necessary changes to ensure compliance.
  • annual certification oversight, including liaison with adviser manager and head of compliance regarding training needs, CPD auditing, Statement of Professional Standing renewal oversight, etc.
  • on projects as required by the group head of compliance.
  • issues to the group head of compliance.


Requirements:

  • 1-3 years compliance experience.
  • This includes compliance experience in a paraplanner role (or similar)
  • Collaboration, listening and empathy skills essential.


Preferred Qualifications:

  • Level 4 Diploma qualification preferable.


Competencies:

  • Excellent communication skills.
  • Ability to operate both independently and collaboratively.
  • Strong understanding of financial products and services.
  • Analytical thinking and problem-solving skills.