2 Regulatory Compliance Advice & Policy Specialists

2 Regulatory Compliance Policy & Advice Specialists are required by a leading Financial Services provider to provide a quality support service to the Group with the aim of ensuring compliance with applicable legislative and regulatory requirements affecting the administration, design and distribution of Group and third-party products, as well as those affecting financial planning and advice matters.

You will be able to spend 2-3 days working from home per week, with the remainder of your time spent at the Group’s Head Office in Birmingham City Centre.

The responsibilities of the role include

• Horizon scanning to identify legislative/regulatory changes, developments and announcements arising from relevant sources (for example the FCA and PRA).
• Support in the analysis of legislative/regulatory developments and determine the impact on the Group’s business.
• Support in the communication of details of legislative/regulatory developments to all relevant business areas in a timely manner, using a suitable method of communication and including an appropriate level of detail.
• Provide advice and guidance to business areas on how to implement necessary changes and provide 2nd line of defence challenge and oversight as appropriate.
• Provide advice and guidance on regulatory and technical matters to Group staff in relation to business as usual matters, the provision of financial advice to customers, process change initiatives, sales initiatives, marketing campaigns and product developments.
• Contribute as appropriate to product development strategy and support product developments.
• Contribute to the review and sign-off of customer-facing documentation including key features documents, statement mailings, policy documents, media articles, training materials and all forms of financial promotions.
• Contribute to the review and approval of changes or additions to advice guidelines and suitability reports as well as instigating changes where a need is recognised.
• Review and approval of internal business communications, training materials and sales processes.

To be considered for this excellent opportunity you will be an experienced Compliance specialist from the Financial Services arena (Banking is preferred but not essential), ideally with previous horizon scanning and impact analysis experience. Any previous experience of CONC, UCITS, MiFID II, PRIIPs, IDD or the migration of products onto digital platforms would be advantageous. You must also possess excellent communication and stakeholder management skills.


Salary:£35k - £44k + bonus + benefits


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