Compliance Adviser Corporate Compliance

Vacancy reference: LON-COM-00291

Location: London

Employment type: Permanent

Department: Compliance

Do you have solid previous experience working within a Compliance department providing advice on the FCA Conduct of Business Rules/Conduct Risk?  Do you have previous experience of working with retail investment products such as ISA’s and pensions?  Have you prior exposure of working with the following areas of the FCA Handbook is preferable particularly COBS, SYSC, PROD and SUP.

We have a great opportunity to join a dynamic and busy Compliance department within an award winning and market leading financial services firm.

Our Corporate Compliance team is primarily responsible for providing advice on conduct/conduct risks, especially around operational and new business initiatives, as well as  managing Compliance processes such as Group Policy updates, preparing written reports and MI 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.  

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

  • carrying out research as well as providing regulatory advice to the business on operational and conduct-related matters;
  • managing the Group Policy Approval Process and the master policy list – working with all policy owners to ensure that Group policies are reviewed and updated annually;
  • 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.

You will have worked within a solo FCA or dual regulated (by FCA and PRA) financial services firm and will be able to demonstrate a solid understanding of how regulations affect working practice.  Previous experience of working with retail investment products such as general investment account (GIA), ISA’s and pensions would be preferable.  Knowledge and experience of COBS, SYSC, PROD and SUP parts of the FCA Handbook is preferable and an understanding of Prudential regulation would be a bonus. 

We offer a competitive basic salary alongside a comprehensive benefits package, which includes a discretionary company bonus scheme, 25 days annual leave, great pension contribution, BUPA health insurance and season ticket loan

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 £34.4 billion of funds under direction (31st March 2019).  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.  Transact's parent company, IntegraFin Holdings plc, is listed on the London Stock Exchange and is a constituent of the FTSE 250 index.

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.


The closing date for this vacancy has now passed.