Compliance and Regulatory Expert

5 days ago


Newcastle upon Tyne, Newcastle upon Tyne, United Kingdom Core-Asset Consulting Ltd Full time
Job Title: Compliance and Regulatory Expert

We are seeking a highly skilled Compliance and Regulatory Expert to join our team at Core-Asset Consulting Ltd in Northeast England. This is an exciting opportunity to play a critical role in ensuring the firm adheres to the FCA's Consumer Duty requirements.

About the Role:

The Compliance and Regulatory Expert will focus on key areas such as rule mapping, policy and procedure reviews, implementing compliance monitoring plans, and documenting remedial actions.

This role is ideal for someone with proven experience in governance, risk, and compliance, with a focus on Consumer Duty implementation.

A strong analytical and problem-solving skills, with the ability to manage complex projects and deliver results is required.

Ideal candidates should have expertise in compliance monitoring, internal audit, and risk assessment frameworks.

  • Main Responsibilities:
  • Map FCA rules to business processes, ensuring clear accountability and compliance with PRIN, SYSC, COCON, and related regulations.
  • Conduct gap analyses to identify and address areas requiring development, improvement and remediation, ensuring alignment with Consumer Duty principles.
  • Develop, review, and maintain policies and procedures in line with evolving FCA regulations, including COBS and all relevant FCA guidance and best practice.
  • Ensure all documentation supports transparency, customer fairness, and the firm's risk appetite.
  • Oversee the compliance monitoring plan, prioritising high-risk areas and liaising with other departments to ensure all actions are completed in line with the framework.
  • Act as the second line of defence, conducting root cause analysis of material findings and proposing actionable remediation plans.
What We Offer:
  • A highly competitive salary of £75,000 per annum.
  • A wider benefits package.


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