Senior Compliance Advisory Consultant
2 weeks ago
ii has been investing in our customers' success for almost 30 years.
That's why over 420,000 people put their trust in our award-winning investment platform.
With a low, flat monthly fee, you can keep more of what you make and take control of your financial future.
Whether you're investing in an ISA, pension, or Trading Account, you have access to one of the widest ranges of investments on the market - including shares, funds, trusts and ETFs.
Lean on our award-winning, UK-based customer service team if you ever need help.
And if you're looking for investment inspiration, you can look to our expert team of journalists and their regular news and insights.
Join an engaged community of investors on the UK's number one flat-fee investment platform.
PURPOSE OF THE ROLE: The Senior Compliance Advisory Consultant supports the Head of Compliance in the provision of a reliable and responsive advisory service on regulatory matters, internal policy and compliance process requirements to ensure compliance with new or existing regulations and best practices.
Requirements REQUIRMENTS: Be involved in the Compliance Regulatory Change Management Process, ensuring that relevant 'upstream' legal and regulatory changes are proactively identified, analysed and communicated to the business.
Oversee the implementation of the business changes required to ensure ii's ongoing compliance with its regulatory obligations.
Be involved in, when required, handling matters escalated due to the identification of suspicious activity, or identified through the Enhanced Due Diligence process, and ensures appropriate steps are taken to address those activities and mitigate the risk to ii.
Take decisions regarding the submission of reports to relevant authorities (e.g.
STORs and/or SARs) and regarding the maintenance of higher risk customers (including PEPs).
Assist in the development and maintenance of financial crime risk assessments and for the preparation of reports for Executive Management and the Board (e.g.
the annual MLRO Report).
Oversee the Compliance Regulatory Breach Management Process and ensure that Compliance Analysts have appropriately categorised and risk rated regulatory breaches.
Provide support to the Head of Compliance with the development and maintenance of internal policies and standards.
Engage in reviewing and approving Vendor Engagement Forms and Data Protection Impact Assessments.
Support the Senior Compliance Advisory Consultant with the development of less experienced Compliance colleagues Represent the Compliance function at relevant working groups and/or committees Prepare summaries, presentations, briefing notes and any other required documentation to effectively report on regulatory matters Submit regulatory returns Review and develop regulatory training modules (e.g.
'eLearning') Respond to external requests for information (e.g.
Governmental Orders, Counterparty AML Due Diligence Questionnaires) SKILLS REQUIRED: Proven ability to work effectively in a cross-functional and often ambiguous environment.
Ability to work effectively in an extremely fast paced environment, to think creatively, and apply knowledge to problem-solving and issue resolution.
Strong analytical skills and judgment - decisive, confident decision maker.
Negotiating, influencing and collaborating with the ability to deal with conflicting points of view and effect creative and responsive solutions; a proven team player.
Effective presentation and communication skills - with the ability to draft superior quality reports, policies, manuals, procedures, and business correspondence for an executive level audience.
Self-starter, with strong problem-solving skills (in particular the ability to interpret legal and regulatory texts) and the ability to proactively identify issues and recommend solutions.
A relevant industry qualification (desirable).
TECHNICAL ADVICE: Business Conduct (incl.
Consumer Duty*, CASS, Product Governance, Financial Promotions, Personal Account Dealing, Complaint Handling, Appropriateness, Suitability, Customer Vulnerability, Best Execution, SMCR, Outsourcing) Financial Crime (incl.
AML, ATF, ABAC, Sanctions, Market Abuse and Fraud) Data Protection (incl.
PECR) Transaction Reporting Pensions Regulation (incl.
FCA, HMRC, TPR, FRC, QROPs etc.)
Individual Savings Account (ISA) Regulations (e.g.
HMRC's "ISA Managers' Guidance") PRIIPs / UCITS London Stock Exchange, Takeover Panel and Listing Rules
-
Commercial Advisory
2 weeks ago
Ledston, United Kingdom Altum Consulting Full timeA Global Infrastructure Consulting firm is currently growing their Commercial Advisory team.As an organisation they support global businesses to design and deliver transformation programmes.They are recruiting across Manchester, Bristol, London and Birmingham.They are also looking for Senior Consultants, Principal Consultants and Associate Directors.They are...
-
Financial Services Advisory Senior Consultant
3 weeks ago
Ledston, United Kingdom Bdo Uk Full timeIdeas | People | Trust We're BDO.An accountancy and business advisory firm, providing the advice and solutions entrepreneurial organisations need to navigate today's changing world.We work with the companies that are Britain's economic engine – ambitious, entrepreneurially-spirited and high-growth businesses that fuel the economy - and directly advise the...
-
Corporate Tax Advisory Manager
2 weeks ago
Ledston, United Kingdom Kpmg-Unitedkingdom Full timeJob OverviewWe are seeking a skilled Corporate Tax Advisory Manager to join our team at KPMG. As a key member of our Corporate Tax team, you will be responsible for providing tax advisory services to clients, including compliance and advisory work. This is an exciting opportunity to work with a leading consultancy business, serving the region with diligence...
-
Financial Advisory, Manager
2 weeks ago
Ledston, United Kingdom Pembroke Communications Full timeThis is an excellent opportunity to work alongside our established team who will support you to utilise and enhance your advisory and insolvency skills and experience.You will work alongside some of the most experienced practitioners in the field advising the boards, management teams, lenders and shareholders of companies which are underperforming and/or...
-
Ledston, United Kingdom Stealth It Consulting Limited Full timeA prominent IT consultancy is actively recruiting for permanent Cloud Strategy Senior Consultant roles to expand their rapidly growing team.Salary - up to £70,000 + Additional bonus + Benefits Remote with occasional client visits Candidates must be Eligible for SC Clearance Please note no sponsorship will be provided for this role An Overview of the Role As...
-
Senior Corporate Tax Professional
1 week ago
Ledston, United Kingdom Kpmg-Unitedkingdom Full timeKey ResponsibilitiesAs a Senior Corporate Tax Professional at KPMG, you will be responsible for providing tax advisory services to clients, including compliance and advisory work. This is an exciting opportunity to work with a leading consultancy business, serving the region with diligence and expertise.The successful candidate will have a strong background...
-
Carbon Consultant
1 week ago
Ledston, United Kingdom Mott Macdonald Full timePosition location: London, UK / Brighton, UK / Bristol, UK / Cambridge, UK / Cardiff, UK / Glasgow, UK / Leeds, UK / Reading, UK / Sheffield, UK Recruiter contact: Alice Roostan We're a global engineering, management, and development consultancy.Our purpose is to improve society by considering social outcomes in everything we do, relentlessly focusing on...
-
Senior Tax Manager
2 weeks ago
Ledston, United Kingdom Brook Street Full timeYour new company: A leading three-partner firm leveraging innovative cloud technology, primarily Xero, to provide exceptional advisory and compliance services to clients with revenues between £1 million and £10 million.As Gold Standard Investors in People, they are dedicated to fostering an inclusive environment that promotes personal and professional...
-
Corporate Tax Manager/Senior Manager
2 weeks ago
Ledston, United Kingdom One Hiring Uk&I Full timeAre you working in corporate tax and looking to boost you earnings and career?Are you keen to take the next step in your corporate tax journey?Are you becoming frustrated by the lack of a clear plan for your development?Are you looking for more client responsibility?The business have a low attrition rate across tax, with many of their team achieving...
-
Financial Services Advisory Assistant Manager
2 weeks ago
Ledston, United Kingdom Bdo Uk Full timeIdeas People Trust We're BDO.An accountancy and business advisory firm, providing the advice and solutions entrepreneurial organisations need to navigate today's changing world.We work with the companies that are Britain's economic engine - ambitious, entrepreneurially-spirited and high growth businesses that fuel the economy - and directly advise the owners...
-
Lead Health And Safety Consultant
3 weeks ago
Ledston, United Kingdom Nsb Recruitment Ltd Full timeNSB Recruitment have an exceptional opportunity for a Lead Health & Safety Consultant working for a global consultancy in any one of their UK offices.This role offers an opportunity to contribute to the continued successful growth of our clients strategic Health & Safety risk management services across broad Client sectors and geographies.The position...
-
Lead Health
5 days ago
Ledston, United Kingdom Macstaff Full timeYou will like Leading in Health & Safety for this sought-after global consultancy flexible working from London, Bristol or any UK office. They have an excellent reputation for providing a range of services to a variety of clients across sectors such as property, renewables, infrastructure, industrial, commercial and government. They are regarded as one of...
-
Senior Clinical Lead Rmn
3 weeks ago
Ledston, United Kingdom Sterling Cross Full timeA specialist mental health centre just outside Leeds is now looking for a highly experienced Registered Mental Health Nurse (RMN) to join and lead the team as Senior Clinical Lead, effectively the Deputy Hospital Director .This hospital is a dynamic inpatient provision supporting adults with complex presentations relating to mental health and/or a...
-
Senior Ifa Administrator
3 weeks ago
Ledston, United Kingdom Njr Recruitment Full timeNJR are delighted to be exclusively working with a leading Independent Wealth Management Advisory Firm based in Leeds.Our Client is looking for an experienced IFA Administrator to join their ambitious, expanding and technically astute team.What's in it for you?Hybrid working Free Onsite Parking Study Support Available Excellent Promotion and Development...
-
Lead Health
1 week ago
Ledston, United Kingdom Macstaff Full timeYou will like Leading in Health & Safety for this sought-after global consultancy flexible working from London, Bristol or any UK office.They have an excellent reputation for providing a range of services to a variety of clients across sectors such as property, renewables, infrastructure, industrial, commercial and government.They are regarded as one of the...
-
Corporate Tax Assistant Manager
2 weeks ago
Ledston, United Kingdom Kpmg-Unitedkingdom Full timeJob description Corporate Tax Assistant ManagerBase Location: Leeds is the main hub however we are open to regional candidates as well.The KPMG Corporate Tax team is a cornerstone of our business.We do work that matters, serving the region with diligence and expertise.KPMG is one of the world's largest and most respected consultancy businesses.We've...
-
Senior Risk Consultant
3 weeks ago
Ledston, United Kingdom Hamilton Barnes Full timeJob Title: Senior Cyber Risk Consultant Role: My client's Cyber Risk Management team is seeking a Senior Cyber Risk Consultant to work with clients, providing expert consultation on IT systems, networks, GRC, and assurance services.The role involves collaboration with defensive and offensive consultancy teams to oversee and deliver cyber services aligned...
-
Senior Tax Executive
5 days ago
Ledston, United Kingdom Busy Bee Recruitment Full timeRole: Senior Tax Executive Location: Outskirts of Cambridge, CB25 Hours: Monday – Friday 35 hours per week (flexi working available) Salary: circa £40,000 per annum Benefits: 25 days' holiday + Bank Holidays (with the option to buy/sell holiday), employer pension contribution of 6%, private medical insurance and permanent health insurance.Duration:...
-
Senior Recruitment Consultant
1 week ago
Ledston, United Kingdom Omega Resource Group Careers Full timeSenior Recruitment Consultant At Omega, we're not just about recruiting — we're about shaping futures and forging lasting partnerships.With a rich legacy of two decades of excellence, we've cemented our reputation as sector experts in the recruitment industry.Since becoming part of the Staffline Group in 2018, our horizons have broadened, our reach...
-
Lead Health And Safety Consultant
1 week ago
Ledston, United Kingdom Nsb Recruitment Ltd Full timeJob Description NSB Recruitment have an exceptional opportunity for a Lead Health & Safety Consultant working for a global consultancy in any one of their UK offices.This role offers an opportunity to contribute to the continued successful growth of our clients strategic Health & Safety risk management services across broad Client sectors and geographies.The...