Regulatory Policy Adviser

Chase De Vere Independent Financial Advisers Limited; Greater London; On-site; GBP 60,000 - 80,000; Full time

Job summary

A leading financial advisory firm in Greater London is seeking a Regulatory Policy Adviser to enhance compliance with regulatory standards. The successful candidate will manage financial crime risks, oversee policy drafting, and ensure adherence to FCA regulations. We offer a competitive salary, an annual bonus, and benefits including generous annual leave, a contributory pension scheme, and paid study leave, within a supportive workplace culture.

Benefits

25 days annual leave plus Bank Holidays

Contributory pension scheme

Employee Assistance Programme

Paid volunteering days

Qualifications

• Strong understanding of anti-money laundering and fraud regulations.
• Ability to communicate effectively with a range of stakeholders.
• Proficient in data analysis utilizing Excel.

Responsibilities

• Conduct client due diligence and investigate potential fraud.
• Administer the training and competence scheme.
• Draft and update compliance policies and guidance.
• Review financial promotions for regulatory compliance.

Skills

Understanding of regulations applicable to financial services

Knowledge of financial crime and AML

Understanding of Data Protection regulation

Industry experience in FCA authorised firms

Effective communication with stakeholders

Data analysis using Excel

Job description

The Regulatory Policy Adviser plays a key role in supporting Chase de Veres compliance framework and ensuring adherence to regulatory requirements.

The successful candidate will

contribute to the firms ongoing commitment to uphold robust compliance and regulatory standards. The Regulatory Policy team collaborates closely with other teams, including Business Quality, Complaints, Internal Errors, Compliance Monitoring, and Risk Management to ensure that the business remains aligned with evolving regulatory requirements and best practices.

What your role will involve

• Support the organisation in managing financial crime risk by conducting client due diligence reviews and investigating potential instances of fraud.
• Administer the training and competence scheme, including assisting advisers on their path to achieving competent adviser status, supporting the broader business in complying with SM&CR requirements, and overseeing the management of specialist licence controls.
• Serve as a point of contact for complex or non-routine regulatory queries, taking appropriate action to ensure timely and effective resolution.
• Maintain the Regulatory section of the intranet by updating content with new documents and revisions and removing obsolete material.
• Draft and update policies and guidance to a high standard, ensuring accuracy and suitability for the intended audience.
• Prepare and circulate the monthly Regulatory Bulletin.
• Review and assess the organisations Financial Promotions to confirm factual accuracy and compliance with regulatory standards.
• Produce Management Information to keep the Compliance Manager and Head of Risk and Compliance appropriately informed of activities within the L&R teams.

What you will need

• Good understanding of regulations applicable to a financial services firm offering financial advice and discretionary management services
• Strong understanding of financial crime, including anti-money laundering, anti-bribery and corruption and fraud
• Understanding of Data Protection regulation, including the GDPR
• Industry experience in a relevant role in an FCA authorised financial services firm
• Working within a multifaceted team and with a range of stakeholders
• Interpreting the requirements of the FCA Handbook
• Communicating effectively with stakeholders
• Effective time management, including prioritising work and meeting deadlines
• Writing communications and policy for a wide audience
• Data analysis using Excel

By joining Chase de Vere, you'll have a progressive career with great benefits and a nurturing culture that makes you part of something special.

Alongside a competitive salary with the opportunity to earn an annual bonus, we also provide the below benefits :

• 25 days annual leave (increases to 30 days with service) plus Bank Holidays
• Contributory pension scheme
• Life assurance
• 4 x annual salary
• Comprehensive induction and training programme
• Funded exams and paid study leave
• A wide range of voluntary flexible benefits to suit your individual needs
• The option to buy additional holiday days
• Cycle to work Scheme
• Paid volunteering days each year
• Employee Assistance Programme with access to a 24 / 7 helpline
• Access to our free mortgage service, through our internal mortgage team
• Our Employee Forum and Diversity & Inclusion group
• Local and companywide events in support of our company charities