The purpose of this role is:

To oversee and manage regulatory developments for the Group and support the Compliance Advisory Team as required.

The main duties of the role:

• Oversee regulatory horizon scanning for the Group.
• Prepare and if required, present, reports on regulatory developments to senior management committees.
• Contribute to regulatory change projects as required.
• Act as the compliance lead for upcoming ESG related regulatory changes including the FCA rules on climate-related disclosures for asset managers.
• Escalate any significant issues, weaknesses or outstanding action items to the Head of Compliance Advisory

Where required assist the Compliance Advisory team in providing day-to-day compliance advice to the business in areas such as:

• Financial Promotions
• SM&CR
• Takeover Panel & Major Shareholding Disclosures
• Suitability of Advice
• Vulnerable Clients
• Market abuse
• Conflicts of interests
• Product Governance
• Best Execution

Skills required to undertake the role:

• Highly organised, methodical, efficient and able meet deadlines
• Good interpersonal skills
• Professional and concise written style
• Pragmatic
• Confident in providing advice and recommendations to senior stakeholders.
• Able to work on own initiative but also accept direction when necessary and learn quickly
• Good analytical skills and experience of interpreting regulations as they apply to retail investments and investors
• Good understanding of the various regulatory developments that will impact wealth management firms
• Good working knowledge of FCA Handbook particularly COBS, COLL and SYSC
• Knowledge and experience of implementing ESG related regulations
• Knowledge and experience of SM&CR
• Knowledge and experience of CASS
• Experience gained within financial services, ideally including a discretionary investment management, wealth management, financial planning and funds businesses
• Experience of implementing regulatory change
• Experience of horizon scanning