Compliance Adviser - Corporate Compliance

Vacancy reference: LON-COM-00279

Location: London

Employment type: Permanent

Department: Compliance

Our Corporate Compliance team is primarily responsible for managing Compliance processes such as Group Policy and Financial Promotion Approvals, preparing Compliance department reports/dashboards and MI packs for forums, committees and boards and providing Compliance advice on conduct/conduct risk, operational, financial crime and new business initiatives. The team also contributes to the delivery of regulatory change and other Compliance projects.  

This is a great opportunity to join a dynamic and busy Compliance department within an award winning and market leading financial services company.

Transact is the leading independent investment wrap platform in the UK. First established in 2000, we have over 166,000 client investment portfolios (30th September 2018) and £31.6 billion of funds under direction (31st December 2018). Our service includes an online platform, owned and built by us, and dedicated regional adviser support to bring assets and investments together in a smarter, more tax efficient way.

The Compliance Adviser within the Corporate Compliance team will be responsible for:

  • carrying out research as well as providing advice to the business on operational, financial crime and conduct/conduct risk matters;
  • managing the Group Policy Approval Process and the master policy list.  You will work with all policy owners to ensure that all policies are reviewed and updated annually;
  • managing various compliance processes including the financial promotions approvals process (including signing off promotional material personally and by other compliance team members);
  • designing and developing clear and engaging reports and dashboards for forums, committees and boards to ensure consistent high quality internal reporting and MI.  You will also be responsible for collating, sense checking and managing data for the reports;
  • maintaining and drafting content for the Compliance owned pages on our internal Integranet site; and
  • working with the wider Compliance team on Compliance projects, business initiatives and general business as usual tasks providing advice as needed to support these efforts.

For this role we are looking for someone with previous experience working within a Compliance department and particularly with providing advice on the FCA Conduct of Business Rules/Conduct Risk. You will have worked within a solo FCA or dual regulated (by FCA and PRA) financial services company and will be able to demonstrate a solid understanding of how regulations affect working practice. We would particularly be interested to see previous experience of working with retail investment products such as savings (inc ISAs) and pensions.  Previous experience working with the following areas of the FCA Handbook is preferable: COBS, SYSC, PROD and SUP and an understanding of Prudential regulation would be a bonus.  Ideally educated to degree level and holding a relevant compliance or legal qualification would be desirable.

Someone who is goal oriented and able to come up with practical and commercial solutions will fit this role well. You’ll be a first class planner, able to work under pressure with excellent attention to detail and used to meeting tight deadlines.  

If this role seems like the perfect fit for your experience and you’re looking for your next step in a forward thinking and fast paced company please apply today.  In return we offer you a great remuneration package including company discretionary bonus, excellent pension contributions, an attractive staff share scheme, BUPA health insurance, season ticket travel loans, buying and selling of annual leave and sponsorship of your relevant professional qualifications. 

All of our staff are expected to acquire and maintain the desired level of competence for their role which requires them to have the skills, knowledge and expertise needed to discharge the responsibilities of their role to the standards we expect.

We provide a diverse and inclusive workplace and ensure that all of our staff respect and understand individual differences. We are an equal opportunities employer and positively encourage applications from suitably qualified and eligible candidates regardless of age, disability, gender reassignment, marital or civil partner status, pregnancy or maternity, race, religion or belief, sex or sexual orientation.