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Regulatory Compliance Specialist

2 months ago

Leeds, United Kingdom Front Row Recruitment Full time

My client is a highly regarded, successful, established and award winning pensions specialist currently seeking a talented Regulatory specialist to join a newly established team and be a key figure in advising the business regarding regulatory and risk requirements. Duties will include:


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  • Supporting the Head of Compliance to ensure the firm meets its regulatory requirements as set out in the DPB Handbook.
  • Support the firm in its application for its FCA Authorisation, ensuring policies and procedures meet the new requirements.
  • Research, identify and analyse potential regulatory change (DPB and FCA) that may impact the organisation and work with internal stakeholders to to coordinate updates to the firms manual including response to Consumer Duty requirements.
  • Manage the process for approving authorised advisor's (new and existing) and transitioning to the FCA's Senior Managers and Certification regime.
  • Coordinate completion of the firms regulatory reporting (quarterly and annual)
  • Complete an annual compliance review in all regulated areas of the business and produce a report to be submitted to the board
  • Provide compliance training for colleagues and coordinate with HR to implement conduct rules training.

  • Applicants will possess significant experience of working within an FCA regulated environment ideally with a Pension or Financial Advisory firm in the UK. Strong knowledge of the FCA handbook is key along with a proven background in regulatory reporting, authorisation, regulatory developments, internal monitoring and general regulatory compliance. You must possess outstanding communication skills both verbal and written, be highly organised and with the ability to identify and implement regulatory processes and procedures and be capable of influencing behaviours across the business.

    This is an outstanding opportunity to join a newly established team in a Senior capacity offering autonomy and a great working environment. A generous remuneration package is on offer plus a generous benefits package and the opportunity to be an integral part of building a new team in an award winning business.

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