Compliance Adviser - Compliance Business Support & Advice

Vacancy reference: NRD-COM-000373

Location: London

Employment type: Permanent

Department: Compliance

Do you have solid experience working within a Compliance department providing advice on the FCA rules?  Do you have previous experience of working with retail investment products such as Insurance Bonds, pensions and ISAs? Do you have all round knowledge of the FCA Handbook, and the COBS, SYSC, PROD and SUP Sourcebooks and other conduct related matters in particular?

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

Our Compliance Business Support & Advice team is primarily responsible for providing advice to the business on conduct of business and product governance matters. 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. The team also contributes to the implementation  of regulatory change and other Compliance projects.  

The Compliance Adviser within the Business Support & Advice team will be responsible for:

  • carrying out research and providing regulatory advice on operational and conduct of business-related matters;
  • working with process and policy owners across the business 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 and assistance 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, along with knowledge and experience of COBS, SYSC, PROD and SUP parts of the FCA Handbook.  An understanding of Prudential regulation would also be useful.

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 192,000 client investment portfolios and over £41.09 billion of funds under direction (as at 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.  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.