- Provide practical and proportionate compliance advice to teams across Penfold
- Own and respond to Risk & Compliance queries raised through Jira
- Research regulatory questions and translate requirements into practical business options
- Own day-to-day incident logging and management through resolution
- Carry out compliance monitoring and assurance reviews covering complaints, financial crime, marketing, pension regulations and GDPR
- Assess the impact of regulatory change and help implement policy, process and control changes
- Review, analyse and compile compliance and risk MI
- Identify trends and contribute to Risk Committee and other governance reporting
- Collaborate across the business, provide constructive challenge and help colleagues deliver compliantly
- Contribute to Risk & Compliance improvements and share knowledge with junior colleagues
Requirements
- Around 2–3 years’ experience in financial services/pensions compliance or a closely related role
- Good working knowledge of FCA rules and how regulatory requirements apply in practice
- Experience providing compliance advice to business teams
- Experience of compliance monitoring, assurance, incident management, and regulatory change
- Strong written and verbal communication skills
- Ability to manage multiple priorities and deliver work without close supervision
- Good analytical skills and confidence researching regulatory issues
- Experience within pensions or workplace pensions would be helpful but isn’t essential
- Knowledge of Consumer Duty, anti-money laundering, data protection and pensions regulation would be beneficial
- A relevant professional qualification, or willingness to work towards one, would be welcome
- Offer and ongoing employment depend on passing pre-employment and regulatory checks
Core Competencies
Demonstrates expertise in compliance advice, regulatory change management, and compliance monitoring within financial services, with strong analytical and communication skills to effectively collaborate across teams.
Highest-signal resume keywords
- Financial Services Compliance
- FCA Rules Knowledge
- Compliance Monitoring
- Incident Management
- Regulatory Change Implementation
ATS Optimization Keywords
Hard Skills
- Compliance Advice
- Regulatory Research
- Incident Logging
- Assurance Reviews
- Data Protection Knowledge
- Pensions Regulation
- Anti-Money Laundering
- Regulatory Change Assessment
- Risk Management Information (MI) Analysis
- Trend Identification
Soft Skills
- Strong Written Communication
- Strong Verbal Communication
- Analytical Skills
- Ability to Manage Multiple Priorities
- Constructive Challenge
Certifications & Qualifications
- Relevant Professional Qualification
Industry Keywords
- Consumer Duty
- Financial Crime
- Pension Regulations
- GDPR
- Workplace Pensions
Tools & Technologies
- Jira
#J-18808-Ljbffr
Compliance Specialist employer: Jobtailor
As a Client Services Coordinator at our dynamic company, you will thrive in a supportive work culture that prioritises employee growth and development. We offer comprehensive training, opportunities for advancement, and a collaborative environment where your contributions are valued. Located in a vibrant area, our team enjoys a healthy work-life balance and the chance to engage with diverse clients, making every day rewarding and meaningful.
