Key Responsibilities:
- Operate as part of the 2nd line Compliance function, supporting a culture of regulatory integrity and client-centric outcomes
- Deliver expert regulatory guidance and support across all business functions
- Manage and respond to data protection requests, including Data Subject Access Requests (DSARs)
- Log, investigate, and conduct root cause analysis of compliance breaches
- Perform horizon scanning to identify, monitor, and report on relevant regulatory developments
- Conduct KYC due diligence reviews and investigate referrals from business units
- Review and approve financial promotions, marketing collateral, and client-facing materials to ensure regulatory compliance
- Assist in the preparation and submission of regulatory reports and information requests
- Promote compliance awareness through staff engagement, training, and communications
- Develop, maintain, and review internal compliance policies in line with evolving regulatory requirements
- Compile and present Management Information (MI) to demonstrate compliance with applicable regulations and support client outcome monitoring
- Participate in thematic reviews, depending on skills and experience
- Oversee the administration of the Senior Managers & Certification Regime (SM&CR), including certification and associated governance processes
- At least 1 year of experience in a retail compliance role within financial services
- Solid understanding of FCA regulations and regulatory expectations
- Strong focus on delivering positive client outcomes
- Practical, solution-oriented mindset with the ability to interpret and apply regulatory requirements effectively
- Well-developed investigative and decision-making skills, supported by sound judgment
- Strong analytical and problem-solving capabilities
- Skilled at translating complex regulatory concepts into clear, understandable guidance for diverse audiences
