Regulatory Compliance Advisor

20000.00 - 40000.00 GBP Annual + Pension, Commission
02 Apr 2021
30 Apr 2021
Employer Sector
Accountancy Practice
Contract Type
Full Time

My client is a compliance consultancy firm and they are recruiting an experienced compliance officer with a minimum of two years' experience working within the Consumer Credit and Financial Services Industry under the Financial Conduct Authority.

The ideal candidate should have experience working within/for multiple types of regulated firms and their knowledge should include:

Credit Broking

Insurance Broking

Mortgage Broking

Consumer Hire

Consumer Credit Lending

Debt Counselling

Debt Collecting & Debt Administration

Financial Products & Services

Claims Management

As a member of their team, you will be responsible for completing work for our clients, these include but are not limited to, FCA Applications, Retained Services, Ad-hoc consultancy, Call Monitoring and file reviews

They would expect all candidates to have completed all the below tasks in their day to day workload

Financial Promotions Reviews

FCA Complaints Handling

Systems and Controls (drafting policies and procedures)

GABRIEL reporting

Senior Managers and Certification Regime

AML and Financial Crime

GDPR & Data Protection

As a member of the regulatory team at you will be provided with a comprehensive plan of progression though our Learning and Development Scheme. All employees who join The Company have an established career path that sets the foundation for their own skills and abilities development, this includes knowledge, customer service and communication.

You must be educated to degree level and ideally you will have gained your degree in any of the following disciplines: Law, Finance or Business, however other degrees and relevant qualifications will be considered.

Must Have

FCA Rules Knowledge

Compliance Experience

Financial Service Knowledge


Below are the key areas you will be required to learn within your development, these are designed to aid your progression, your knowledge and soft skills -

Gaining knowledge and understanding of key areas of the Financial Conduct Authority ("FCA") handbook

Researching compliance/regulatory topics to build and maintain, knowledge and soft skills

Horizon scanning for any future regulatory changes and providing proactive guidance to clients

Creating and reviewing internal and external core documentation in line with company standards

Dealing with clients and regulators in a professional manner

Maintain internal company records to the set standards

External client audits

Identifying regulatory risks within businesses and providing remedial action

Identifying alternative business strategy which would fulfil the regulator requirements

Creating complex framework to fit client's business models

Assisting with ongoing regulatory reporting

Organising your own workload to ensure your clients hours are being fulfilled

Responsibility for completing tasks set by colleagues to the timescales provided

Internal project and training delivery

Client call monitoring

Drafting online FCA applications and assisting in the application process

Completing internal/peer quality checks

Identifying opportunities with clients and recommendation of additional products and services we could possibly help them with


Employees will require a vast array of skills. These include the ability to:

Prioritise tasks receive by clients in a timely manner

Maintain excellent customer service and communicate in a client friendly and professional manner

Delegate tasks to team members and work collaboratively

Follow internal processes and procedures

Organise own workload and timescales for this to be complete

Manage your time effectively in order to adhere to deadlines

Undertake independent research

Communicate confidently to clients and stakeholders, both verbally and in written communications