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- Tasks: Support compliance and regulatory standards while managing financial crime risk.
- Company: Join Chase de Vere, a leader in financial services with a commitment to excellence.
- Benefits: Enjoy 25 days annual leave, pension scheme, and paid volunteering days.
- Why this job: Make a real impact in a dynamic team focused on compliance and regulatory excellence.
- Qualifications: Understanding of financial regulations and strong communication skills required.
- Other info: Great career growth opportunities and a supportive work environment.
The predicted salary is between 36000 - 60000 £ per year.
The Regulatory Policy Adviser plays a key role in supporting Chase de Vere’s compliance framework and ensuring adherence to regulatory requirements. The successful candidate will contribute to the firm’s ongoing commitment to uphold robust compliance and regulatory standards. The Regulatory Policy team collaborates closely with other teams—including Business Quality, Complaints, Internal Errors, Compliance Monitoring, and Risk Management—to ensure that the business remains aligned with evolving regulatory requirements and best practices.
Responsibilities
- Support the organisation in managing financial crime risk by conducting client due diligence reviews and investigating potential instances of fraud.
- Administer the training and competence scheme, including assisting advisers on their path to achieving competent adviser status, supporting the broader business in complying with SM&CR requirements, and overseeing the management of specialist licence controls.
- Serve as a point of contact for complex or non-routine regulatory queries, taking appropriate action to ensure timely and effective resolution.
- Maintain the Regulatory section of the intranet by updating content with new documents and revisions and removing obsolete material.
- Draft and update policies and guidance to a high standard, ensuring accuracy and suitability for the intended audience.
- Prepare and circulate the monthly Regulatory Bulletin.
- Review and assess the organisation’s Financial Promotions to confirm factual accuracy and compliance with regulatory standards.
- Produce Management Information to keep the Compliance Manager and Head of Risk and Compliance appropriately informed of activities within the L&R teams.
Qualifications
- Good understanding of regulations applicable to a financial services firm offering financial advice and discretionary management services.
- Strong understanding of financial crime, including anti-money laundering, anti-bribery and corruption, and fraud.
- Understanding of Data Protection regulation, including the GDPR.
- Industry experience in a relevant role in an FCA authorised financial services firm.
- Ability to work within a multifaceted team and with a range of stakeholders.
- Experience interpreting the requirements of the FCA Handbook.
- Communicating effectively with stakeholders.
- Effective time management, including prioritising work and meeting deadlines.
- Writing communications and policy for a wide audience.
- Data analysis using Excel.
Benefits
- 25 days annual leave (increases to 30 days with service) plus Bank Holidays.
- Contributory pension scheme.
- Life assurance 4 × annual salary.
- Comprehensive induction and training programme.
- Funded exams and paid study leave.
- A wide range of voluntary flexible benefits to suit your individual needs.
- The option to buy additional holiday days.
- Cycle to work Scheme.
- Paid volunteering days each year.
- Employee Assistance Programme with access to a 24/7 helpline.
- Access to our free mortgage service, through our internal mortgage team.
- Our Employee Forum and Diversity & Inclusion group.
- Local and company-wide events in support of our company charities.
Regulatory Policy Adviser in Salford employer: Chase de Vere
Contact Detail:
Chase de Vere Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Regulatory Policy Adviser in Salford
✨Tip Number 1
Network like a pro! Reach out to people in the industry, attend events, and connect on LinkedIn. We all know that sometimes it’s not just what you know, but who you know that can help you land that Regulatory Policy Adviser role.
✨Tip Number 2
Prepare for interviews by researching Chase de Vere and understanding their compliance framework. We recommend practising common interview questions related to regulatory policies so you can showcase your knowledge and confidence when it counts.
✨Tip Number 3
Don’t underestimate the power of follow-ups! After an interview, send a thank-you email to express your appreciation. It shows your enthusiasm for the role and keeps you fresh in their minds—trust us, it makes a difference!
✨Tip Number 4
Apply through our website for the best chance at landing the job. We make it easy for you to submit your application directly, and it helps us keep track of your progress. Plus, being among the first 25 applicants can give you a leg up!
We think you need these skills to ace Regulatory Policy Adviser in Salford
Some tips for your application 🫡
Tailor Your Application: Make sure to customise your CV and cover letter for the Regulatory Policy Adviser role. Highlight your relevant experience in compliance and financial crime, and show us how you can contribute to our commitment to robust regulatory standards.
Showcase Your Writing Skills: Since you'll be drafting policies and guidance, it's crucial to demonstrate your writing prowess. Use clear, concise language in your application, and provide examples of any previous communications or documents you've created that align with the role.
Highlight Team Collaboration: We love a team player! Make sure to mention any experiences where you've worked closely with different teams or stakeholders. This will show us that you can thrive in our collaborative environment and help maintain our compliance framework.
Apply Through Our Website: Don't forget to submit your application through our website! It’s the best way for us to receive your details and ensures you’re considered among the first 25 applicants. We can't wait to see what you bring to the table!
How to prepare for a job interview at Chase de Vere
✨Know Your Regulations
Make sure you brush up on the key regulations that apply to financial services, especially those related to compliance and financial crime. Being able to discuss these confidently will show that you're serious about the role and understand the landscape.
✨Showcase Your Teamwork Skills
Since the Regulatory Policy Adviser role involves collaboration with various teams, be prepared to share examples of how you've successfully worked in a team environment. Highlight your ability to communicate effectively and resolve conflicts, as this will resonate well with the interviewers.
✨Prepare for Scenario Questions
Expect questions that ask how you would handle specific regulatory scenarios or challenges. Think through potential situations you might face in the role and prepare structured responses that demonstrate your problem-solving skills and knowledge of compliance.
✨Demonstrate Your Writing Skills
Given that drafting policies and guidance is part of the job, be ready to discuss your writing experience. Bring along samples if possible, and be prepared to explain how you ensure clarity and accuracy in your communications.
