Compliance Executive


We require a Compliance Executive to deliver expert compliance advice and monitoring services to the firm to help it maintain its compliance with existing and emerging regulatory requirements and standards, with particular focus on financial planning.

Key Accountabilities

Regulatory Change

  • Assessing and helping to prepare responses to regulatory Consultation papers where appropriate, especially those issued by the FCA.
  •  Contributing to the production of regulatory update newsletters for the business summarizing issues that may have an impact on the firm or our industry.
  • Assisting with change management projects in response to new regulatory requirements

Compliance advisory

  • Providing a proactive advisory service to all areas of the firm on regulatory matters
  • Preparing/amending policies, procedures or guidance to reflect regulatory requirements and to address the results of compliance reviews.
  • Assisting with the preparation and provision of training to all areas of the business on regulatory matters

Compliance monitoring

  • Carrying out routine compliance monitoring and following up on matters arising
  • Participating in ad-hoc compliance reviews and branch visits on topical issues
  • Ensuring that any adverse findings from these reviews are escalated, and monitoring any actions taken to resolve issues.

General Compliance

  • Reviewing and approving research and marketing material, to ensure that it complies with prevailing rules and guidance
  • Assisting with the investigation and response to client complaints including those referred to the Financial Ombudsman Service (FOS)
  • Participating in any of the ongoing projects of the department and covering for other Compliance Executives (holiday/absence) as required

Competencies / Skillset

  • Getting Things Done – Delivers on agreed objectives promptly; prioritises workload; remains professional under pressure.
  • Communication & Sharing Knowledge – Confident, clear and accurate with all communication. Maintains accurate records and makes effective use of new technology.
  • Customer Service – Positive attitude to find solutions in line with TCF principles. Uses customer feedback to improve service.
  • Effectiveness & Adaptability – Able to maintain a high volume of work, striving for continual improvements. Understands individual contribution in relation to corporate objectives. Presents a positive image and approach to change.
  • Team Working – Shares knowledge, skills and experience with colleagues; understands team goals; is cooperative and supportive of others.
  • Pro-active – able to work autonomously and seek out work during slow periods
  • Fast-learner – actively listens and is able to pick new skills up quickly
  • Planning and Organising 
  • Attention to detail

Qualifications / Experience Required

  • Educated to A-levels standard or equivalent
  •  At least 2 years’ experience, preferably in the Financial Services Industry
  • An interest in Compliance and an understanding of the UK Financial Services Regulatory Environment

In addition, candidates should:

  • Have the ability to communicate orally and in writing in a clear, concise and persuasive manner.
  • Be self-motivated and committed to ‘getting the job done’
  • Be flexible in their approach to work, adapting to changing demands and conditions

Contractual Hours

9.00am – 5.30pm, Monday to Friday

Get In Touch

Please send a CV and covering letter to [email protected] with the subject title of the role you are applying for.

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