Job Title: Regulatory Advisor
Job Description: Our client is a leading and specialist financial services business who are currently recruiting for a Regulatory Advisor. The main responsibility of the role is to provide regulatory guidance and oversight to colleagues across the business to optimise compliance.
- Identification, analysis and controlled implementation of regulatory change.
- Operation of the issues recording, resolution, management and reporting process including regulatory breaches
- Operation of the Financial Promotions process
- Supporting the Head of Regulatory Guidance and Oversight to manage and complete regulatory and ad-hoc external reporting
- Proactive and reactive ongoing oversight of the business’s metrics to ensure early identification, escalation and appropriate remediation of emerging issues. This would be expected to include KPIs & Kris, including conduct/TCF MI
- Provide regulatory advice to colleagues on relevant aspects of the FCA handbook and related legislation
- Interpret and constructively summarise regulation and legislation in a manner that colleagues can understand and take forward
- Product FLA annual compliance statement returns; including validation of data supplied
- Operate the issues recording, resolution, management and reporting process including regulatory breaches
- Ensure the business operates a suitably controlled approval process which ensures that customer-facing materials comply with prevailing requirements
- Demonstrable experience of conducting and presenting regulatory focused research and collaborating with business representative of varied management grades to successfully achieve objectives
- Working knowledge of consumer credit business activities
- Working knowledge of data protection and financial crime legislation