Senior Regulatory Advisory Lead

FNZ; Salisbury; On-site; GBP 50,000 - 70,000; Full time

Job summary

A leading wealth management platform provider in the UK is seeking a Compliance Consultant to ensure adherence to FCA/PRA requirements. The role involves providing expert regulatory advice, monitoring compliance efforts, and fostering relationships with client teams. Candidates should have significant regulatory experience and knowledge of the FCA Handbook. This position offers an opportunity to contribute to a global platform that empowers millions to invest in their future.

Qualifications

• Significant previous experience in a regulatory role that supports clients’ propositions.
• Detailed knowledge of the FCA Handbook, especially SYSC, CASS, COBS, and COLL.
• Good knowledge of European Directives.
• Experience in both front and back office investment operations.
• Excellent communication and influencing skills.

Responsibilities

• Assist senior management to promote compliance culture.
• Provide in-depth advice on FCA and HMRC regulations.
• Build relationships with clients’ 2LOD functions.
• Undertake risk trend analysis for specified clients.
• Prepare reports and liaise with clients on compliance matters.

Skills

Regulatory knowledge

Communication skills

Analytical skills

Relationship management

Education

Professional or industry qualification

Job description

A leading wealth management platform provider in the UK is seeking a Compliance Consultant to ensure adherence to FCA/PRA requirements. The role involves providing expert regulatory advice, monitoring compliance efforts, and fostering relationships with client teams. Candidates should have significant regulatory experience and knowledge of the FCA Handbook. This position offers an opportunity to contribute to a global platform that empowers millions to invest in their future.