Regulatory Compliance Specialist
1 week ago
Company Overview
We are Clayton Davies, a growing wealth management firm seeking a skilled Regulatory Compliance Specialist to join our expanding Compliance team.
The ideal candidate will assist in overseeing and coordinating the onboarding of acquired firms into our company from a regulatory standpoint.
Key Responsibilities
- Oversight of compliance workstreams to ensure smooth onboarding.
- Liaising with vendors to maintain or transfer ongoing compliance responsibilities during acquisition periods.
- Collaborating with other departments to facilitate effective onboarding of new firms.
- Management Information reporting and escalation of key risks and issues to project management teams.
- Liaising with regional directors and project management teams for timely and minimal disruption compliance onboarding activities.
- Tracking progress of FCA Change in Control and de-authorisation applications and supporting Compliance Directors in drafting those applications.
- Coordinating staff onboarding training plans to ensure timely completion.
- Ensuring due diligence highlights are incorporated into training plans and validated before completion.
- Overseeing PI renewals, maintaining PI policies, and drafting proposal forms where necessary.
- Completing RegData returns and drafting submissions as required.
- Drafting procedures and ensuring roles and responsibilities are coordinated across the regulatory function.
Experience Required:
- Achieved the Regulated Diploma in Financial Planning (Level 4) or equivalent qualification.
- Minimum 3 years' experience in a Compliance role within an IFA firm.
Salary Range: £50,000 - £65,000 per annum, depending on experience.
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