Risk Governance Advisor

15 hours ago


Newcastle upon Tyne, Newcastle upon Tyne, United Kingdom Clayton Davies Full time

Job Summary

We are seeking a dedicated Risk Governance Advisor to join our Compliance team at Clayton Davies.

The ideal candidate will be responsible for overseeing the onboarding process of acquired firms, ensuring compliance with relevant regulations.

Key Accountabilities

  • Directing compliance workstreams to guarantee efficient onboarding.
  • Liaising with vendors to maintain compliance responsibilities during acquisitions.
  • Collaborating with internal teams to facilitate smooth onboarding of new firms.
  • Providing critical information and escalating key risks and issues to project managers.
  • Working closely with regional directors and project managers to coordinate compliance onboarding activities.
  • Tracking progress of FCA Change in Control and de-authorisation applications and assisting Compliance Directors in drafting applications.
  • Designing and implementing staff onboarding training programs.
  • Ensuring due diligence findings are incorporated into training programs and validated prior to completion.
  • Overseeing PI renewals, maintaining PI policies, and preparing proposal forms when necessary.
  • Preparing and submitting RegData returns as required.
  • Developing procedures and coordinating roles and responsibilities across the regulatory function.

Qualifications and Experience

  • Possessing the Regulated Diploma in Financial Planning (Level 4) or equivalent certification.
  • A minimum of 3 years of experience in a Compliance role within an IFA firm.

Compensation Package: £60,000 - £80,000 annually, based on qualifications and experience.



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