Compliance Advisor

4 weeks ago

London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

Job Summary:

We are seeking an experienced Compliance Consultant to join our team at Compliance Recruitment Solutions. As a Compliance Consultant, you will assist Compliance Directors with a portfolio of Advisor/Arranger clients, providing compliance advice and implementing regulatory change initiatives.

Key Responsibilities:

  • Supervision and Mentoring: Supervise and mentor junior members of the AR Platform team, ensuring they have the necessary skills and knowledge to perform their duties effectively.
  • Compliance Advice: Provide compliance advice to clients, anticipating their regulatory compliance needs and ensuring they are in line with industry standards.
  • Compliance Infrastructure: Set up compliance infrastructure for clients, including policy frameworks and regulatory compliance monitoring systems.
  • Regulatory Change: Implement regulatory change initiatives, including policy frameworks and compliance monitoring reports.
  • Technical Opinions: Provide technical opinions and respond to ad-hoc and routine regulatory queries from clients.
  • Compliance Projects: Undertake compliance projects, monitoring reviews, and drafting compliance monitoring reports and presentations.
  • Financial Promotions: Assist in reviewing financial promotions and ensuring they comply with regulatory requirements.
  • Client Relationships: Assist in developing client relationships and ensuring excellent customer service.

Requirements:

To be successful in this role, you will need to have at least 4 years of compliance experience gained in a compliance consultancy, law firm, in-house Compliance team, or a regulator. You will also need a detailed knowledge of FCA regulations and excellent interpersonal skills.

What We Offer:

We offer a highly regarded and growing Compliance Consultancy with extensive promotional opportunities for those who bring their A game and want to develop and grow their compliance knowledge and career.

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