Compliance and Advice Officer

Role Summary:

You will be joining our client's Compliance Team who work as as business partners to the business and/clients. You will support the team working on Compliance initiatives, while also handling Compliance generalist responsibilities. This role requires a versatile Compliance professional with expertise in Pensions, and FCA regulations.

The Compliance Officer ensures that the company adheres to internal policies and external regulatory requirements. This role involves monitoring, advising, and reporting on compliance risks and issues, and fostering a culture of integrity and ethical conduct.

Location:

This position is based in Bath and offers a hybrid working model, combining both office presence and remote work flexibility.

Responsibilities:

• Support the business and clients on understanding regulatory policy, procedures and process
• Support and advise on how regulated process work pre and post client implementation
• Advise on regulatory enhancements and controls working closely with the Risk Business Partner and /team
• Work closely with the Compliance lead and compliance team to support regulatory changes that may effect the business and clients
• Assist in implementing any regulatory changes to SOPs required (and necessary guidance and training provided)
• Advise on regulatory queries from the 1B, 1LOD teams and more broadly from the business and/clients
• Support the Compliance Lead and the work closely with Risk to review the emerging risks, breaches and support on remediation projects
• Support on regulatory training and guidance
• Support regulatory projects and initiatives
• Support to develop, implement, and maintain compliance policies and procedures
• Monitor regulatory developments and work closely with the Compliance team and lead to ensure timely updates to internal controls
• Support with conducting reviews to identify potential compliance issues
• Investigate and support to resolve compliance breaches or concerns
• Maintain records of compliance activities and decisions

Essential Skills:

• Previous experience of advising on Policies and SOPs as well ongoing advisory Regulatory Interpretation, covering both Pensions and Retail Investments
• Experience in senior stakeholder management
• Good working knowledge, on ISAs, Investments and Pensions, Consumer Duty, is mandatory

Desirable Skills:

• Regulatory knowledge and experience in Pensions, FCA, and PSR regulations
• The ability to work independently and as part of wider team globally
• Efficient and well organized
• Strong communication skills both written and verbal
• Credible and assertive manner
• Discretion, tact and resilience
• Professional manner with the ability to influence and persuade