Regulatory Policy Advisor: Compliance & Risk Enablement

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

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.