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Regulatory Compliance Specialist

2 months ago

Reading, Reading, United Kingdom Clayton Davies Full time
Job Title: Field Based Compliance Consultant

At Clayton Davies, we are seeking a highly skilled Regulatory Compliance Specialist to join our team. As a Field Based Compliance Consultant, you will play a crucial role in providing Compliance support to our directly authorised businesses.

Key Responsibilities:
  • Compliance Support Services: Prepare and deliver comprehensive and practical Compliance Support Services to assist clients in achieving good customer outcomes.
  • Report and Action Plan Development: Produce and deliver reports and action plans, including practical solutions to specific business needs, to enable clients to develop, monitor, and maintain compliance standards.
  • Stakeholder Engagement: Develop and maintain effective and proactive working relationships with internal and external stakeholders.
  • Technical and Regulatory Knowledge: Maintain and develop own technical and regulatory knowledge to stay up-to-date with industry developments.
  • Business Projects: Actively support and engage with business projects as required by the Regulatory Manager to meet client needs and business objectives.
Requirements:
  • Qualifications: Level 4 Diploma in Financial Planning or equivalent.
  • Compliance Experience: Previous compliance experience in the Wealth Management space, preferably with a J07 or equivalent qualification.

We offer a competitive salary, bonus, and benefits package, including private medical insurance and a pension scheme. If you are a motivated and experienced Regulatory Compliance Specialist looking for a new challenge, please apply today.