Compliance Consultant

Wiltshire  ‐ Onsite
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Description

Compliance Consultant

We require a Compliance Consultant for an initial 6 month contract for our financial services client based in Swindon, Wiltshire. This role requires an individual to provide compliance support to a project to develop an Advisory Firm.

Overview of the Compliance Consultant

  • Act as Project Compliance SME alongside Compliance department colleagues. Support project team members as required.
  • Supporting the completion of FCA application forms and the collation of supporting evidence required as part of the application process.
  • Population of a 'rules map', articulating the regulatory requirements applicable to the development and how they apply to the various workstreams.
  • Validating workstream leaders are implementing processes, outputs, systems and controls that comply with applicable regulatory standards. This will include a Training & Competence scheme, KPI's for operational and propositional management, regulatory reporting and customer-facing documents
  • Documentation of a compliance monitoring plan providing details of the topics to be reviewed, comparative degree of regulatory risk, applicable rules and guidance etc.
  • Oversight of amendments to existing compliance sensitive governance documents and/or creation of new governance documents covering Reviews, Regulatory Change and Consultancy, with the aim of ensuring adequate on-going compliance arrangements are in place for the new Advisory firm.
  • Providing training for Compliance staff, with the aim that by the end of the job holder's contract, adequate technical expertise exists within the Compliance function to oversee and support the new Advisory firm.

Key skills required for the Compliance Consultant

  • Qualified to full QCF level 4 or beyond. This would preferably include one of the following Chartered Insurance Institute qualifications (Unit AF3 of the Advanced Diploma in Financial Planning, G60 paper of Advanced Financial Planning Certificate or Fellow or Associate including three pensions-related subjects as confirmed by the examining body).
  • Excellent knowledge of the regulatory requirements applicable to Advisory firms.
  • Experience of designing advice related compliance/control process for digital/telephone advice environments
  • Experience of assessing suppliers/tendors to supply systems to manage compliance processes linked to the supply of advice
  • Significant experience of working within a compliance environment ie identifying and mitigating regulatory risks across Monitoring, Regulatory Change/Interpretation and Consultancy disciplines.
  • Good knowledge of the advice, investment, protection and annuity markets.

The successful candidate should be or have,

  • Intelligent, clear thinker
  • Able to communicate effectively at all levels of the organisation
  • Results/delivery focused
  • Attention to detail
  • Team Player/flexible
  • Ability to work in a less structured, open environment. The organisation is continuing to experience significant change and the ability to think quickly and laterally will be vital
  • Ability to prioritise/organise competing demands
  • Enthusiastic and enjoys a challenge
  • Ability to work to tight deadlines, to use ones own initiative
  • Working at all times lawfully and in accordance with pre defined regulatory, compliance and financial requirements eg Data Protection, Code of Conduct, Health and Safety, and Financial Conduct Authority Standards (including TCF).
  • Working at all times in accordance with procedures, group/company policy, processes and controls

If you are a Compliance Consultant looking for a new contract either apply online or please contact Jim Beynon on (see below)

Do you know anyone who might be looking for a new role? You could benefit from our candidate referral scheme. Contact me for more information.

Outsource. Our People. Your Success.

Outsource UK is one of the country's largest and most successful independent recruitment consultancies, specialising in the IT, Digital, Financial Services and Engineering sectors.

We recruit talented people for contract and permanent opportunities, offer a consultative approach and have a reputation for providing a superior service to both clients and candidates.

The business focuses on building long lasting relationships based on reliability and trust. We do this by hiring and retaining a great team of recruitment consultants who listen and understand our client's and candidate's needs.

Start date
ASAP
Duration
6 months
From
Outsource UK
Published at
25.06.2015
Project ID:
931002
Contract type
Freelance
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