Regulatory Affairs Professional

9 hours ago


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

Career Opportunities: Compliance Officer at Clayton Davies

We are seeking a highly motivated and experienced Compliance Officer to join our team at Clayton Davies. As a Compliance Officer, you will play a key role in ensuring the successful onboarding of new firms into our company.

Job Description:

  • Oversight of compliance workstreams to ensure a seamless onboarding process
  • Liaising with vendors to maintain or transfer ongoing compliance responsibilities during the acquisition period
  • Working collaboratively with other departments to facilitate the effective onboarding of new firms
  • Management Information reporting and escalation of key risks and issues to the project management team
  • Liaising with regional directors and project management teams to schedule compliance onboarding activities at the right time with minimal disturbance to vendors
  • Tracking progress of FCA Change in Control and de-authorisation applications and supporting the Compliance Director in drafting those applications
  • Coordinating staff onboarding training plans to ensure training and file checking is completed in sufficient time ahead of the completion date
  • Ensuring areas of improvement highlighted in due diligence are factored into the training plan and validating that those improvements have been achieved ahead of completion
  • Overseeing PI renewals, ensuring PI policies are maintained and drafting PI proposal forms where relevant
  • Completion of RegData returns, submitting them on time and drafting returns for submission to the FCA where necessary
  • Drafting procedures and coordinating roles and responsibilities across the regulatory function

Qualifications and Experience:

  • Achieved the Regulated Diploma in Financial Planning (Level 4) or equivalent qualification
  • Minimum 3 years' experience in a Compliance role within an IFA firm

The estimated salary for this position is around £55,000-£65,000 per annum, depending on location and experience.



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