Regulatory Policy Adviser

Chase De Vere Independent Financial Advisers; Salford; On-site; GBP 40,000 - 60,000; Full time

Job summary

A financial advisory firm in the UK is seeking a Regulatory Policy Adviser to support its compliance framework by ensuring adherence to regulatory requirements. Responsibilities include managing financial crime risk, administering a training scheme for advisers, and serving as a point of contact for regulatory queries. The ideal candidate should have experience in compliance and strong analytical skills. This role is crucial for maintaining robust compliance and regulatory standards within the firm.

Qualifications

• Experience in compliance and regulatory affairs.
• Strong analytical skills for conducting due diligence and fraud investigations.
• Knowledge of SM&CR requirements and training for advisers.

Responsibilities

• Support managing financial crime risk through due diligence reviews.
• Administer training and competence scheme for advisers.
• Serve as a contact for complex regulatory queries.

Job description

Overview

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.

Responsibilities

• 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.

Intranet and Content Maintenance

Maintain the Regulatory section of the intranet by updating content with new documents and revisions and removing obsolete material.