The Technical Compliance Advisor will be responsible for the following duties:

  • The provision of the interpretation and guidance in respect of the FCA's rules to the business.
  • Provide feedback to the FCA on the appropriate consultative documents
  • Provide an impact assessment and gap analysis for any new FCA initiatives as they affect the business.
  • Responsible for Conduct Risk and TCF
  • Provision of Compliance training
  • Liaison with the monitoring team to update the risk assessment, scheduling and focus of the CMP
  • Assist in the resolution of errors, breaches or other incidents
  • Update and enhancement of applicable Compliance policies and procedures manuals to include Code of Ethics and Conflicts of Interest.
  • Act as the DP Officer
  • Provision of regulatory advice for BCP
  • Responsible for special regulatory projects - MiFID 2, FACTA, SMR etc
  • Provisio of MI for reporting to senior management.

To be considered for the above position the ideal candidate should possess the skills and attributes:

  • 3 to 5 years Compliance or regulatory experience
  • Wealth Management, retail discretionary asset management or stockbroking experience
  • Knowledge of and the ability to be able to source from the FCA handbook including - COBs, GENPRU, BIPRU etc
  • Educated to degree level or equivalent.

In exchange for the above my client is offering the opportunity to join the Compliance team of a leading organisation at an exciting phase of their reorganisation.