Regulatory Policy Adviser
1 week ago
Join to apply for the Regulatory Policy Adviser role at Chase de Vere. Be among the first 25 applicants. The Regulatory Policy Adviser plays a key role in supporting Chase de Vere’s compliance framework and ensuring adherence to regulatory requirements. The successful candidate will contribute to the firm’s ongoing commitment to uphold robust compliance and regulatory standards. The Regulatory Policy team collaborates closely with other teams—including Business Quality, Complaints, Internal Errors, Compliance Monitoring, and Risk Management—to ensure that the business remains aligned with evolving regulatory requirements and best practices. Responsibilities Support the organisation in managing financial crime risk by conducting client due diligence reviews and investigating potential instances of fraud. Administer the training and competence scheme, including assisting advisers on their path to achieving competent adviser status, supporting the broader business in complying with SM&CR requirements, and overseeing the management of specialist licence controls. Serve as a point of contact for complex or non-routine regulatory queries, taking appropriate action to ensure timely and effective resolution. Maintain the Regulatory section of the intranet by updating content with new documents and revisions and removing obsolete material. Draft and update policies and guidance to a high standard, ensuring accuracy and suitability for the intended audience. Prepare and circulate the monthly Regulatory Bulletin. Review and assess the organisation’s Financial Promotions to confirm factual accuracy and compliance with regulatory standards. Produce Management Information to keep the Compliance Manager and Head of Risk and Compliance appropriately informed of activities within the L&R teams. Qualifications Good understanding of regulations applicable to a financial services firm offering financial advice and discretionary management services. Strong understanding of financial crime, including anti‑money laundering, anti‑bribery and corruption, and fraud. Understanding of Data Protection regulation, including the GDPR. Industry experience in a relevant role in an FCA authorised financial services firm. Ability to work within a multifaceted team and with a range of stakeholders. Experience interpreting the requirements of the FCA Handbook. Communicating effectively with stakeholders. Effective time management, including prioritising work and meeting deadlines. Writing communications and policy for a wide audience. Data analysis using Excel. Benefits 25 days annual leave (increases to 30 days with service) plus Bank Holidays. Contributory pension scheme. Life assurance 4 × annual salary. Comprehensive induction and training programme. Funded exams and paid study leave. A wide range of voluntary flexible benefits to suit your individual needs. The option to buy additional holiday days. Cycle to work Scheme. Paid volunteering days each year. Employee Assistance Programme with access to a 24/7 helpline. Access to our free mortgage service, through our internal mortgage team. Our Employee Forum and Diversity & Inclusion group. Local and company‑wide events in support of our company charities. Seniority Level Entry level Employment Type Full-time Job Function Other Industries Operations Consulting #J-18808-Ljbffr
-
Regulatory Policy Adviser
7 days ago
Salford, United Kingdom Chase De Vere Independent Financial Advisers Full timeThe Regulatory Policy Adviser plays a key role in supporting Chase de Veres compliance framework and ensuring adherence to regulatory requirements. The successful candidate will contribute to the firms ongoing commitment to uphold robust compliance and regulatory standards. The Regulatory Policy team collaborates closely with other teams, including Business...
-
Regulatory Policy Adviser
7 days ago
Salford, United Kingdom Chase De Vere Independent Financial Advisers Full timeOverviewThe Regulatory Policy Adviser plays a key role in supporting Chase de Veres compliance framework and ensuring adherence to regulatory requirements.The successful candidate will contribute to the firms ongoing commitment to uphold robust compliance and regulatory standards. The Regulatory Policy team collaborates closely with other teams, including...
-
Regulatory Policy Adviser
2 weeks ago
Salford, United Kingdom Chase De Vere Independent Financial Advisers Limited Full timeThe Regulatory Policy Adviser plays a key role in supporting Chase de Veres compliance framework and ensuring adherence to regulatory requirements. The successful candidate will contribute to the firms ongoing commitment to uphold robust compliance and regulatory standards. The Regulatory Policy team collaborates closely with other teams, including Business...
-
Regulatory Policy Adviser
7 days ago
Salford, United Kingdom Chase De Vere Independent Financial Advisers Limited Full timeJob DescriptionThe Regulatory Policy Adviser plays a key role in supporting Chase de Veres compliance framework and ensuring adherence to regulatory requirements. The successful candidate will contribute to the firms ongoing commitment to uphold robust compliance and regulatory standards. The Regulatory Policy team collaborates closely with other teams,...
-
Regulatory Policy Adviser
1 week ago
Salford, United Kingdom Chase De Vere Independent Financial Advisers Limited Full timeJob DescriptionThe Regulatory Policy Adviser plays a key role in supporting Chase de Veres compliance framework and ensuring adherence to regulatory requirements. The successful candidate will contribute to the firms ongoing commitment to uphold robust compliance and regulatory standards. The Regulatory Policy team collaborates closely with other teams,...
-
Regulatory Policy Adviser
1 week ago
Salford, United Kingdom CHASE DE VERE INDEPENDENT FINANCIAL ADVISERS LIMITED Full timeThe Regulatory Policy Adviser plays a key role in supporting Chase de Veres compliance framework and ensuring adherence to regulatory requirements. Is your CV ready If so, and you are confident this is the role for you, make sure to apply asap.The successful candidate will contribute to the firms ongoing commitment to uphold robust compliance and regulatory...
-
Regulatory Policy Adviser
1 week ago
Salford, United Kingdom CHASE DE VERE INDEPENDENT FINANCIAL ADVISERS LIMITED Full timeThe Regulatory Policy Adviser plays a key role in supporting Chase de Veres compliance framework and ensuring adherence to regulatory requirements. Is your CV ready If so, and you are confident this is the role for you, make sure to apply asap.The successful candidate will contribute to the firms ongoing commitment to uphold robust compliance and regulatory...
-
Salford, United Kingdom Chase de Vere Full timeA financial services firm is seeking an Entry-level Regulatory Policy Adviser to support its compliance framework, ensuring adherence to regulations. Responsibilities include managing financial crime risk, administering training schemes, and updating policies for compliance. The ideal candidate should possess a strong understanding of financial regulations,...
-
Regulatory Policy Advisor: Compliance
7 days ago
Salford, United Kingdom Chase De Vere Independent Financial Advisers Full timeA financial advisory firm in the UK is seeking a Regulatory Policy Adviser to support its compliance framework by ensuring adherence to regulatory requirements. Responsibilities include managing financial crime risk, administering a training scheme for advisers, and serving as a point of contact for regulatory queries. The ideal candidate should have...
-
Regulatory Compliance Policy Architect
7 days ago
Salford, United Kingdom AJ Bell Business Solutions Limited Full timeA leading investment platform company in the UK is seeking a Compliance Policy Consultant to enhance its Compliance team. The candidate will provide regulatory guidance, monitor FCA developments, and support various business units in achieving compliance. A minimum of three years of experience in FCA regulated firms is required, alongside strong report...
