Prudential Compliance Specialist - 12 Month Fixed Term Contract

Vacancy reference: LON-COX-000372

Location: London

Employment type: Fixed Term

Department: Compliance

A little about us…

Transact is the leading independent investment wrap platform in the UK. First established in 2000, we have over 192,000 client investment portfolios and £41.09 billion of funds under direction (as at 30 September 2020).

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.

We offer access to a wide range of tax wrappers (including ISAs, pensions and life insurance investment bonds) and funds which advisers use to build client investment portfolios. Portfolio valuations, purchases and sales are all supported via Transact Online which is available 24/7.

About the role… 

The role will see you supporting the Compliance Manager, Regulatory Policy, and Senior Compliance Manager, Regulatory Relations, to deliver the work of the Regulatory Relations Team and, as required, the Compliance Department more broadly.  It will be a full time, fixed term contract for 12 months.

The role will involve monitoring, assessing, and advising on the impact of emerging regulation and regulatory initiatives affecting the Group. You will also be responsible for assisting with the compilation and timely submission of data, reports and information to the Group’s regulators, including the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA).  

Key areas of responsibilities include:

  • Policy Analysis- detailed analysis of the FCA’s publications on prudential regulation, in particular, of the consultation papers and policy statements on the IFPR, including interpreting the relevant rules, assessing which rules apply and assist in documenting the approach taken;
  • Advice and Support- provide guidance and support to the business on the requirements of the IFPR and other relevant prudential regulations and how they apply to Transact;

Who we are looking for:

The successful candidate will have experience working within Financial Services and advising on prudential regulations. You should have strong research, analytical, organisational and planning capabilities, and an appetite to question and learn. Excellent attention to detail is required, as is the ability to work to tight deadlines under pressure, working both independently and as part of a team. Due to the nature of the role and Transact as a business, great relationship management and interpersonal skills are essential.

Equal Opportunities

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.