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Swindon
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Compliance Consultant

Compliance Consultant

Davies Talent Solutions

Posted 2 days ago, valid for 24 days

Swindon, Wiltshire SN1 2ED, England

£45,000 - £54,000 per annum

Full Time

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Sonic Summary

My client is seeking a dynamic Compliance professional to join their growing adviser network, known for its inclusive culture.
The role requires a minimum of 3 years of experience in a 2nd Line role within a Financial Services business.
The successful candidate will be responsible for providing compliance services across Wealth, Mortgage, and Protection channels.
The position offers a salary of £50,000 to £60,000, depending on experience, and involves supporting the compliance plan and advising key stakeholders.
Ideal candidates will possess up-to-date knowledge of FCA handbooks and have strong communication skills to influence senior leaders.

My client, an ambitious & growing adviser network known for their inclusive & supportive culture, are looking to appoint a dynamic & solutions-oriented Compliance professional to provide effective compliance services across the Wealth, Mortgage & Protection channels. Reporting to the Compliance Director, the role will support the design & delivery of the compliance plan, providing effective advice & consultancy to key stakeholders across the business, contributing to business strategy & operations.This includes:

Undertaking monitoring & assurance activities
Advising Channel Heads on control enhancements, actions & solutions
Collaborate & influence senior leaders on balancing commercial objectives with their regulatory obligations
Support with FCA regulatory visits and thematic reviews

This is a key role within an evolving Compliance function, providing support and challenge to ExCo and the senior leadership team to assist in developing a customer-centric culture. The ideal candidate will have worked in a Financial Services business in a 2nd Line role; have up-to-date knowledge of FCA handbooks (including SYSC, COB, MCOB, ICOB, T&C); be an effective communicator with the ability to engage and influence senior stakeholders; demonstrate an understanding of the strategic objectives of the firm and the resulting impact on processes; possess the ability to operate independently and as part of a team.

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