Regulatory Advisor

West Yorkshire
£27,000 to £35,000
13 Sep 2017
13 Oct 2017
Job Function
Adviser, Adviser
Experience Level
Contract Type

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.

Key Responsibilities:

  • 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

Key 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

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