Regulatory Investigations Officer

Richard Abelson
Liverpool, Merseyside
Market leading salary & benefits package
22 Feb 2018
24 Mar 2018
Experience Level
Contract Type
Full time, Permanent

The Client-

My client is a very prestigious organisation and a leader in its chosen field.


They are currently looking to recruit an individual to carry out investigative and surveillance work across the group and to influence policies and procedures such that they force compliance with the regulations.         

  • Through thorough analysis of practices and procedures etc, seek out and remediate areas of current and potential business risk or client detriment.  This will include working closely with the Compliance Technical and Implementation Team where necessary;
  • Conduct interviews with Senior personnel in relation to findings;
  • Drive change in a positive and compliant manner;
  • Provide support to Compliance colleagues at all levels;
  • Support a positive Compliance culture within the Group;
  • Help to provide an efficient and effective service to the Group;
  • Complete any and all work to a high standard of delivery and accuracy;

Person Specification:

  • Industry knowledge within the wealth management arena and ideally a good understanding of the FCA’s suitability regime.
  • Capable of demonstrating initiative whilst working to fulfil a complex workload and proven ability to meet strict deadlines.
  • Excellent verbal and written communication skills.
  • Hard working with a professional, mature and flexible approach
  • Proven influencing skills and experience and an ability to interact at senior level within the company.
  • Compliance focussed, confident and tenacious, flexible and adaptable

The role will require a degree of travel and extended periods away from home.  Salary is commensurate with experience but will reflect the significance of the role

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