Regulatory Compliance Specialist

1 week ago


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

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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