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 interpretations, compliance oversight, and control systems for financial advice products
Domain
UK Financial Services / Regulatory Compliance
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Financial advice regulation expertise, FCA Conduct of Business rules interpretation, Consumer Duty application, regulatory change implementation, second-line oversight, stakeholder influence, regulatory notification management
Preferred skills
Data protection knowledge, regulated financial planning qualifications (CII), professional compliance qualifications (ICAI)
Technologies
N/A
Responsibilities
Identify and interpret regulatory developments impacting financial advice; Provide expert second-line oversight and constructive challenge on compliance; Act as a key 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 responsibilities
