Role Overview
To support the effective operation of the Group’s compliance framework. The role ensures adherence to FCA regulations, GDPR, internal policies, and wider regulatory obligations by conducting monitoring activities, undertaking audits, managing documentation, and contributing to a culture of regulatory excellence.
Some Key Responsibilities:
- Support the implementation of an appropriate monitoring regime across all group entities to ensure compliance standards are maintained and timely remedial actions are taken where necessary.
- Support the approval of financial promotions across the group to meet regulatory and internal business standards prior to approval, maintaining consistency in interpretation and application.
- Stay informed of changes in the regulatory landscape and assist the team to assess potential impacts on the group's operations, working proactively with senior colleagues to develop plans that ensure continued compliance
- Support the timely and accurate submission of regulatory information and notifications to the FCA, and the completion of relevant group-level regulatory returns.
Experience & Qualifications:
- Experience in a similar Compliance position
- Previous experience in a similar role within the Wealth & Investment Management/ Financial Planning Sector
- CII level 4 Diploma in Financial Services and/or relevant compliance qualification or happy to work towards
