Overview
As the Compliance Advisory Associate, you will be working with the wider Risk & Compliance team to help the business meet the requirements of the FCA and other relevant regulators.
Key Responsibilities:
- Provide advice, training, and guidance to the business on regulatory matters
- Working on regulatory horizon scanning and anticipating upcoming regulatory changes.
- Support the review of Financial Promotions
- Assist in determining the relevance and impact of regulatory change and provide practical support on the implementation of any necessary changes.
- Manage ad hoc regulatory queries from the business
Experience & Qualifications:
- Previous experience in a similar Compliance role within Wealth & Investment Management.
- Detailed, and current, technical knowledge of the FCA Handbook (Consumer Duty, SYSC, COBS, SMCR) and other relevant regimes.
- Strong attention to detail
