Senior Compliance Policy Consultant
Core
Senior Compliance Policy Consultant providing expert oversight, constructive challenge, and guidance on financial advice regulation for the Money (Commercial) business.
Role type
Senior IC compliance policy consultant
Builds
Regulatory interpretation, compliance oversight, and control systems for financial advice products
Domain
UK Financial Services / Regulatory Compliance
Required skills
Financial advice regulation expertise, FCA Conduct of Business rules knowledge, Consumer Duty knowledge, regulatory interpretation, stakeholder influence, analytical skills, report writing
Preferred skills
Data protection knowledge, CII Diploma in regulated financial planning, ICA Diploma in Compliance
Technologies
FCA Conduct of Business rules, Consumer Duty
Responsibilities
Identify and interpret regulatory developments impacting financial advice; Provide second-line oversight and constructive challenge on compliance; Act as referral point for complex regulatory queries; Lead compliance input into business and transformation initiatives; Support development of systems and controls to manage conduct risk; Ensure timely submission of regulatory notifications and applications
Seniority
Senior, hands-on IC with mentorship