Compliance Advisory - Investment Platforms - £550-£700 per day

Job type:
Start date:
3 months rolling
JCW Search Ltd
Published at:
flag_no United Kingdom
Project ID:

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Our client, a large banking organisation is looking to recruit an experienced compliance advisory candidate to join a protection and investments team.

Basic Specification

Excellent industry knowledge in general insurance/protection & investment.

The ability to take a holistic view; identifying and responding to complex emerging issues in an agile and pragmatic way.

Excellent team working capabilities to enable effective collaboration with colleagues across the Group; supported by strong influencing and communication skills, both written and oral.

Personal drive and self-initiative giving you the ability to develop new knowledge quickly; supported by a background in financial services and underpinned with a strong university degree/or an industry recognised compliance qualification.

Reporting to the Senior Manager of Compliance Advice, you'll:

Take the lead within your expert subject matter area on advising the business areas how to:

o Proactively identify risks to customers and markets - both conduct and regulatory;

o Avoid the creation of these risks and implement actions to mitigate unavoidable risks;

o Identify relevant information to aid the early identification of issues.

Undertake the interpretation and implementation of emerging conduct and regulatory themes in support of business strategy.

Identify the issues and pull together the relevant individuals to tackle whatever issues come up.

Be working within colleagues across the business at all levels, influencing strategic aims and supporting colleagues to achieve these in a way that puts customers at the heart of the decision making.

Play a key role in developing compliance and regulatory risk profile.

Specific to the role

Working in their Protection and Investment team.

Good experience on investments, with either a MiFID/IDD/PRIIPS or platform service provider/CASS perspective. Retail experience.

Level 4 qualified with retail/financial planning background.