Compliance Adviser (Fixed Term) - Transact

We are currently recruiting for an exciting opportunity to join the Compliance team as a Compliance Adviser on a fixed term contract basis for 13.5 months.

As the Compliance Adviser you will be responsible for timely and accurate regulatory advice and guidance to the business. You will partner with the business to support the implementation of new regulation, control and service enhancements and any potential remediation projects to ensure that the business understands and meets its regulatory obligations.

Responsibilities

• Provide guidance to the business on regulatory matters and day-to-day compliance queries applicable to the Group and other firms in the distribution chain.
• Proactively maintain regulatory knowledge for topics allocated by the Senior Compliance Manager and act as a point of reference as required.
• Partner with the business to support the delivery of regulatory change, including new regulation, control and service enhancements and any potential remediation activity.
• Review and analyse regulatory publications and prepare clear summaries and impact considerations for management and key stakeholders.
• Contribute to relevant internal and external consultations, discussions and policy debates where required.
• Assist with coordination of communications with regulators, including drafting correspondence, preparing supporting documents, and tracking actions and deadlines.
• Support the coordination and submission of regulatory notifications and returns in a timely manner, ensuring appropriate records and evidence are maintained.
• Support end‑to‑end coordination of SMF and Certified Person applications, including drafting submissions, collating supporting evidence, and tracking progress to completion.
• Contribute to MI relating to regulatory projects, regulatory developments and key regulatory issues.

Qualifications

• Role requires a candidate educated to degree level, with a strong understanding of the UK financial services industry and its regulatory environment.
• The successful individual will be able to apply FCA and PRA rules and guidance in practice, particularly in relation to COBS, product governance, and the Consumer Duty, with a clear focus on good customer outcomes.
• Applicants must have a minimum of three years' experience working within the financial services investment or fund management sector, preferably in a Compliance or Regulatory role, and have experience providing compliance advisory support within a retail investment firm or pension provider.
• Strong written and analytical skills are essential, with confidence using Excel, Word, PowerPoint and CoPilot to analyse information, prepare regulatory documentation and communicate effectively with stakeholders.
• A Compliance Diploma or equivalent legal, compliance or financial services qualification is desirable.
• Experience in areas such as platforms, working with UK regulators, regulatory engagement, regulatory change or project work, consultancy, trade bodies or industry working groups, compliance monitoring, or fund management would be advantageous.
• Knowledge of products and frameworks including investment bonds, model portfolios, suitability, structured products, vulnerable clients, UK Solvency, and MiFIDPRU would further support success in the role.

Equal Opportunities

We provide a diverse and inclusive workplace and ensure that all of our staff respect and understand individual differences. We are an equal opportunities employer and positively encourage applications from suitably qualified and eligible candidates regardless of age, disability, gender reassignment, marital or civil partner status, pregnancy or maternity, race, religion or belief, sex or sexual orientation.