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Compliance Advisory Executive (Investments)

  • Location: Wales, North West, Flexible
  • Salary: £30,000
  • Job type: Permanent
  • Job reference: 172436
  • Sector: Asset Management/Funds , other Financial Services
Job Description
A business service provider to the financial services sector are currently looking for a Compliance Advisory Executive to provide high quality advice to the business on compliance matters. This role reports into the Senior Compliance Advisory Executive, sitting in the Risk & Compliance team. Due to COVID-19 the team is working from home for the foreseeable future and into next year there will be a very flexible working culture. Offices are based in Wales and the North West.

Your main responsibilities will entail:
Providing SME compliance advice and guidance
Building and developing working relationships across the business
Supporting regulatory projects 
Updating Compliance frameworks, policies and procedures 
Compliance reporting and gap analysis 
Training

Requirements:
Compliance experience within financial services and detailed knowledge of structures products/ deposits, ISAs and child trust funds
Strong knowledge of the FCA handbook, specifically CASS, MIFID, COBS, DISP etc
Experience of senior stakeholder management, and good communication skills
Awareness of regulatory developments
 

Salary: circa £30,000 + bonus, flexible for the right candidate 

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