Responsibilities include:
- Support the delivery of thematic reviews and assessments of client outcomes.
- Review and approve marketing materials, websites and presentations to ensure regulatory compliance.
- Draft and update internal policies in line with current regulations.
- Support administration of the Senior Managers & Certification Regime (SMCR).
- Investigate internal referrals and monitor KYC due diligence.
- Escalate concerns and ensure appropriate follow-up actions are taken.
- Compile data and produce MI demonstrating adherence to regulatory requirements and client outcome standards.
- Monitor regulatory developments and communicate impacts to the business.
- Assist in collating information for regulatory submissions and responding to regulator requests.
- Educate employees on regulatory expectations, client outcomes, and compliance best practice.
- Minimum 2 years’ experience in a Compliance function, ideally within wealth management or financial planning.
- Experience conducting thematic or client outcome reviews.
- Strong knowledge of FCA regulations, including Consumer Duty.
- Excellent communication and stakeholder engagement skills.
- Ability to interpret and translate complex regulations into clear, practical guidance.
- Strong investigative, analytical and problem-solving skills.
- High attention to detail, strong organisational skills, and a self-motivated approach.
- Commitment to delivering positive client outcomes.
- ICA or similar compliance qualification.
- Level 4 Diploma in Financial Planning – preferrable but not essential
- Knowledge of pensions – preferrable but not essential
