Compliance and Advice Officer
- Bath
- £54,000 per year
- Permanent
- Full-time
- Support the business and clients on understanding regulatory policy, procedures and process
- Support and advise on how regulated process work pre and post client implementation
- Advise on regulatory enhancements and controls working closely with the risk business partner and /team
- Work closely with the Compliance lead and compliance team to support regulatory changes that may affect the business and clients
- Assist in implementing any regulatory changes to SOPs required (and necessary guidance and training provided)
- Advise on regulatory queries from the 1B, 1LOD teams and more broadly from the business and/clients
- Support the Compliance Lead and the work closely with Risk to review the emerging risks, breaches and support on remediation projects
- Support on regulatory training and guidance
- Support regulatory projects and initiatives
- Support to develop, implement, and maintain compliance policies and procedures
- Monitor regulatory developments and work closely with the Compliance team and lead to ensure timely updates to internal controls
- Support with conducting reviews to identify potential compliance issues
- Prepare and submit compliance reports to senior management
- Investigate and support to resolve compliance breaches or concerns
- Maintain records of compliance activities and decisions
- Proven experience advising on policies and SOPs as well ongoing advisory regulatory interpretation, covering both pensions and retail investments
- Experience in senior stakeholder management
- Good working knowledge of ISAs, Investments and Pensions, and Consumer Duty is mandatory
- Regulatory knowledge and experience in pensions, FCA, and PSR regulations
- The ability to work independently and as part of wider team globally
- Strong communication skills both written and verbal
- Professional manner with the ability to influence and persuade