We are currently recruiting for an exciting opportunity to join the Compliance team as a Compliance Adviser on a fixed term contract basis for 13.5 months.

Role Overview

As the Compliance Adviser you will be responsible for timely and accurate regulatory advice and guidance to the business. You will partner with the business to support the implementation of new regulation, control and service enhancements and any potential remediation projects to ensure that the business understands and meets its regulatory obligations.

The Role

Your role will include:

• Advice and support: Provide guidance to the business on regulatory matters and day-to-day compliance queries applicable to the Group and other firms in the distribution chain.
• Subject matter expertise: Proactively maintain regulatory knowledge for topics allocated by the Senior Compliance Manager and act as a point of reference as required.
• Regulatory change / project support: Partner with the business to support the delivery of regulatory change, including new regulation, control and service enhancements and any potential remediation activity.
• Horizon scanning: Review and analyse regulatory publications and prepare clear summaries and impact considerations for management and key stakeholders.
• Consultations and policy input: Contribute to relevant internal and external consultations, discussions and policy debates where required.
• Regulatory correspondence and engagement: Assist with coordination of communications with regulators, including drafting correspondence, preparing supporting documents, and tracking actions and deadlines.
• Regulatory notifications and reporting: Support the coordination and submission of regulatory notifications and returns in a timely manner, ensuring appropriate records and evidence are maintained.
• SM&CR support: Support end-to-end coordination of SMF and Certified Person applications, including drafting submissions, collating supporting evidence, and tracking progress to completion.
• Management information (MI): Contribute to MI relating to regulatory projects, regulatory developments and key regulatory issues.