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Compliance Advisory Partner

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  • Sector:

    Financial Services

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  • Published:

    over 2 years ago

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The Audit Risk Recruitment Company (ARRC)* have been mandated by our client, a globally recognised brand in the Financial Services Sector, to support in their search for a Compliance Advisory Partner.

This is an exciting opportunity for a Compliance Advisory specialist to advise second line teams across the business with opportunity to support and deputise committee meetings and lobby with the government and FCA.

Progression is on offer both internationally (Europe) and into other area of the function (for example Operational Risk Management)

As the successful incumbent, you will take responsibility for advising stakeholders and teams around FCA regulations, rules and changes, horizon scanning, policy reviews, as well as supporting Financial Crime and Data Protection.

Role Responsibilities

  • Developing, compiling, implementation and reviewing all required Compliance policies, guidance notes and procedures as well as providing technical advise to relevant teams
  • Supporting Financial Control and Data Protection teams on new FCA regulations.
  • Providing guidance around regulatory training material
  • Coaching and mentoring more junior staff and compliance policy and regulation.
  • Supporting and deputising committee meetings where appropriate
  • Provide contractual advice around appropriate language in relation to compliance monitoring and FCA guidelines for different business lines. (for example customer data and relevant FCA regulated language)
  • Responsible for facilitating the approval of policies within the business.
  • Monitoring of regulatory changes pertinent to the business.
  • Providing training within the business covering key regulatory matters pertinent to the companies.
  • Providing on-going robust & independent regulatory advice to the Senior Management and the wider business, making recommendations as appropriate while challenging the business, where appropriate, at all levels in relation to Compliance topics.
  • Assist with the delivery of the Annual Compliance Plan, contributing to reporting of performance against plan.
  • Providing regular updates to the Compliance Advice Director & Head of Risk, Governance & Compliance on compliance activities.
  • Act as the Company compliance resource in all project and product & service development activities, including steering of projects/developments from inception to conclusion in a compliant manner.

Background Requirements

  • A minimum of 5 years in Legal and / or Compliance Advisory experience within a regulated environment.
  • Significant knowledge of FCA laws & regulations
  • Ability to interpret laws and regulations relating to the FCA handbook.
  • Process driven and meticulous attention to detail.
  • Strong interpersonal skills, excellent time management skills and the ability to operate under pressure to meet tight deadlines.
  • Strong analytical skills, problem solving and attention to detail with a proactive approach to seeking information and identifying solutions.
  • Excellent communication skills with the ability to communicate & influence across all levels as required.
  • Ability to work on own initiative without direct supervision having a self-motivated and positive attitude to deliver high quality.
*The Audit Risk Recruitment Company - Experts in Audit and Risk