Compliance Advisor - CII or IFS Qualified

Job type:
Start date:
6 months
Outsource UK
Published at:
flag_no United Kingdom
Project ID:

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Position: Compliance Advisor - CII or IFS Qualified

Job type: Contract

Skills: Regulatory guidance & support, investment compliance, COBS regulations, CII or IFS, ICA or equivalent, TCF

Location: This role will be based in Swindon, Wiltshire, which is commutable from Cirencester, Gloucester, Oxfordshire, Bath, Bristol, Reading, Berkshire, Newport, Cardiff

Duration: 6 months

Rate: Up to £400 per day

Outsource UK are actively seeking to recruit a Compliance Advisor for a 6 month initial contract based with our key financial services Client, that we are working with as a first tier supplier.

The Client:

  • Leading & forward thinking financial services organisation
  • Branches throughout the UK
  • Design their own products
  • Customer focused

Purpose of the role:

Reporting into the Head of Compliance Advice, the role will be to provide support to the Head of Compliance Advice with various internal projects requiring expertise in multiple regulatory areas such as DISP, Outsourcing and Investments.

Daily activities:

  • Deliver regulatory guidance to support product and distribution developments, with an emphasis on customer focussed solutions.
  • Be able to work alone or as part of a team to deliver quality solutions in short timescales and to within a challenging environment
  • Establish and maintain a professional working relationship with relevant internal peers.
  • Lead expert technical advice for Group wide business areas to ensure that all are compliant with regulations and customer centric to ensure the right customer outcomes.

Skills, experience & personal qualities:

  • Experience in a compliance and regulatory environment.
  • Experience in Investment compliance specifically Conduct of Business (COBS) regulations. In addition, a strong background in providing advice to an in-house investment research function is a must.
  • CII or IFS Level 4 qualified or above.
  • ICA or equivalent compliance qualification.
  • Excellent communicator (written and verbal).
  • Strong organisation and planning.
  • Ability to act objectively and maintain independence, while using your own initiative you will be self motivated and driven to ensure the right customer outcomes.
  • Capable of assimilating complex information rapidly across diverse business areas and ensuring advice is customer focused.
  • Can agree pragmatic, innovative and customer centric solutions to regulatory issues.

Additional Information:

You can articulate the regulatory risk of business proposals and assess them against Nationwide's risk appetite. As an excellent communicator and influencer you will lead the business to meet their regulatory requirements ensuring the right customer outcome. Your application of the regulations and Treating Customers Fairly (TCF) principles, when considering all policy, will ensure our customers are provided with personal recommendations which meet their expectations and products that are right for them.

Outsource UK Ltd is working on behalf of this client as a recruitment consultancy. Outsource UK Ltd is an 'Award Winning' 20 year old IT Firm; during this time we have specialized in contract, interim and permanent IT recruitment and have gained an excellent reputation by providing a customized consultative approach.

Laura is a dedicated Recruiter specialising in the Financial sector and works on behalf of candidates looking for opportunities to progress and clients searching for relevant, experienced candidates on both a contract and permanent basis within this sector.

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