Compliance Adviser

7 months ago

Salisbury, United Kingdom Nucleus Financial Full time

We're on the lookout for an experienced and motivated Compliance Adviser to be part of our Compliance Advisory team here at Nucleus. This role is a great opportunity to join an ambitious and diligent team who advocate for and promote a strong risk and compliance culture throughout the company. As we continue through an exciting phase of organisational growth and evolution, there is no better time to join our journey in a role that adds true value to our business and our customers.
Our new Compliance Adviser will have the opportunity to make a real difference by supporting the wider business through involvement in change projects and engaging with our people on compliance related matters. By working collaboratively across various teams, you'll have the opportunity to build relationships and work in partnership with colleagues and third parties to promote engagement and embed a culture of continuous process improvement.

It's a varied role with lots of interesting and value-add work to keep you busy, and here are some of the ways you'll spend your time:
Provide second line compliance advice and support to all areas of the business
Steer the design, implementation and maintenance of regulatory compliance based on technical insight and full understanding of the business case
Act as compliance representative on new business initiatives and change projects
Embed regulatory compliance policies and procedures across the company
Analyse, evaluate and provide regulatory support to business challenges
Highlight where regulatory requirements are not being met, or a control could be improved to ensure we meet the needs of our clients and safeguard their money

**A bit about you**
Tenacious, unafraid to challenge, and leaving no stone unturned, you're thorough, with an eye for detail, who'll ask great questions to help solve problems and will persevere to get the best outcome possible. You're a pro at understanding how the little things influence the big picture.
You'll demonstrate an open and honest approach and be able to build relationships and communicate confidently across the business. You'll encourage the right behaviours and support our core values. You'll set the bar high and be part of a team environment which is both supportive and rewarding, where high performance is the norm.

We've always placed more importance on cultural contribution above technical ability, but we'd really like you to have:
Detailed knowledge of the FCA Handbook - in particular COBS and CASS handbooks, MiFID 2, IFPR and SMCR
Familiar with JMLSG requirements; Data Protection legislation; HMRC rules; ISA rules; and TPR requirements
Experience and understanding of SIPP and platform structures and associated products (e.g., ISA, GIA and Bonds)
Excellent PowerPoint/Word/Excel skills
Excellent relationship building skills
Great written and verbal communication skills, with the ability to present to groups and engage with a diverse workforce
Strong negotiation and conflict resolution skills
Ability to work on own initiative and independently when required
Ability to manage conflicting priorities and evolving work demands without sacrificing quality or accuracy

**A little about us**:
Our purpose at Nucleus is to help make retirement more rewarding, with a vision to build the best retirement-focused platform in the UK. It is this purpose that drives everything we do. Whether you are working in a role that is customer-facing or not, you'll need to be service-obsessed to work here.

It's a fast paced and exciting environment, and one where we believe you will get the chance to fulfil your potential and do work that really matters, to you and our customers. We believe in you having your own chunk of responsibility and being trusted to make things happen.

Nucleus' culture is something our people believe sets us apart from other places they've worked. This short film gives you an insight into what it is like to work with us.

**Inclusion and diversity at Nucleus**:
As with most things in life, who cares, wins. We really care about inclusion.

For us this is not a box-ticking thing, it's a commercial imperative. It isn't about being PC. It's about being future-relevant and durable. Find out more on our inclusion page.

We offer a generous blend of benefits for the things that really matter to our people, including pension, bonus, enhanced parental leave, paid time off for emergencies, health and wellbeing initiatives and flexible working options.

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