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- Tasks: Lead compliance advisory on regulatory matters and support business leaders with expert insights.
- Company: Join St. James's Place, a forward-thinking company focused on excellence and innovation.
- Benefits: Enjoy hybrid work, competitive pay, bonuses, and generous leave options.
- Why this job: Be part of a culture that values autonomy and fosters compliance across the organisation.
- Qualifications: Extensive compliance experience and strong understanding of FCA regulations required.
- Other info: We encourage diverse applicants and offer support for those needing adjustments.
The predicted salary is between 43200 - 72000 £ per year.
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Are you ready to chart your own career path? At SJP we need talented individuals like yourself to support our evolving culture. If you’re seeking an employer that is passionate about excellence, innovation and autonomy, SJP could be the place for you.
At a glance:
Location: Cirencester Office
Workplace Type: Hybrid
Employment Type: Permanent
Seniority: Mid-Senior Level
The role:
The St. James’s Place Risk and Compliance Division (RCD) designs the risk frameworks under which the first line operate and is committed to challenging and supporting the businesses own risk management, providing advice, oversight and effective challenge. Compliance Advisory teams fulfil a key part of this remit, by providing independent advice and oversight regarding FCA conduct regulations on an ongoing basis, via close and continuous engagement with business leaders, and more formal governance and risk management processes. Within this remit the Senior Compliance Advisory Officer will provide thought leadership on complex and strategic regulatory and conduct matters, supporting their respective Head of Compliance Advisory, as well as the Group Compliance Director and Group Chief Risk Officer. They may also line manage more junior team members.
What you\’ll be doing:
- Working with the relevant regulated entity Head of Compliance on regulatory and conduct matters, including leading collaborative work and providing thought leadership with senior business leaders to establish “in-house views” on material complex and contentious issues.
- Maintain a core understanding of regulatory priorities and issues including Consumer Duty, PROD, SUP and COBS, CASS, and Fund Management.
- Provide quality advice, oversight, and subject matter expertise on business strategy to facilitate delivery of business objectives.
- Lead the development, maintenance, and overseeing group policies on key Compliance and Regulatory topics.
- Provide SME advice and oversight of complex business change initiatives and BAU decision-making.
- Oversight of BAU activity regarding Conduct and Regulatory risk management through effective review, challenge, and development of formal evidence-based opinions. Principally via involvement in BAU governance and processes such as RCSA, Consumer Duty reporting, and Product Governance.
- Leading independent Compliance assessments regarding Conduct and Regulatory risks, informing Board Reporting.
- Present, where appropriate, on regulatory issues to the SJP Board, ExCo and other relevant governance and management fora and engage with the leadership team and wider business on regulatory issues.
- Oversight of business issues management, including overseeing the business‘s timely logging of conduct, client outcome or regulatory issues, and their subsequent monitoring, remediation, and closure in line with internal standards.
- Supporting staff and management in their training, understanding and awareness of Conduct and Regulatory risks.
- Highlight and escalate gaps in business adherence to and effective application of internal policies, procedures, and regulatory requirements.
- Lead by example to foster a culture of compliance across SJP. Work collaboratively with Compliance Monitoring, Assurance, SMCR, Risk, and Regulatory Change teams to provide insights and support activities.
Who we\’re looking for:
We’re looking for a confident and collaborative advisor who can engage at all levels. You will be comfortable applying regulatory expectations in a commercial context and bring clarity and insight to complex issues.
Essential Criteria
- Extensive experience in Compliance Advisory roles covering manufacturing of retail insurance-based investment products and non-workplace pensions with a strong understanding of the three lines model.
- Expert on interpretation and application of the Consumer Duty and FCA rules (e.g. COBS, PROD, CASS).
- Proven ability to provide risk-based opinions and challenge senior business leaders (SMFs) on decisions related to business strategy, proposition design, and processes and controls.
- Ability to produce clear, comprehensive and concise scope documents, working papers and compliance reports
- Familiarity with the operation of effective risk and control frameworks, including RCSAs, Materiality Assessments and Issues Management.
Desirable Criteria
- Experience in Compliance Advisory role covering the provision of retail execution and custody services.
- CII or other regulatory qualifications.
What\’s in it for you?
We reward you for the work you do, whether that’s through our discretionary annual bonus scheme that reflects both personal and company performance, competitive annual leave allowance (28 days plus bank holidays, with the option to purchase an additional 5 days), or online rewards platform with a variety of discounts.
We also have benefits to support whatever stage of life you are in, including:
- Competitive parental leave (26 weeks full pay)
- Private medical insurance (optional taxable benefit)
- 10% non-contributory pension (increasing with length of service)
Reasonable Adjustments We\’re an equal opportunities employer and want to ensure our recruitment process is accessible and inclusive for all, if you require reasonable adjustment(s) at any stage please let us know by emailing us at careers@sjp.co.uk
Research tells us that applicants (especially those from underrepresented groups) can be put off from applying for a role if they do not meet all the criteria or have been on an extended career-break. If you think you would be a good match for this role and can demonstrate some transferable experience please apply, regardless of whether you tick every box.
What\’s next?
If you\’re excited about this role and believe you have the skills and experience we\’re looking for, we\’d love to hear from you! Please submit an application by clicking ‘apply’ below and our team will be in touch.
As a business regulated by the FCA we would advise you to familiarise yourself with the conduct regulations and in particular consumer duty obligations prior to an interview with SJP.
Seniority level
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Seniority level
Mid-Senior level
Employment type
-
Employment type
Full-time
Job function
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Job function
Legal
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Senior Compliance Advisory Officer employer: St. James’s Place
Contact Detail:
St. James’s Place Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Advisory Officer
✨Tip Number 1
Familiarise yourself with the latest FCA regulations and compliance frameworks, especially around Consumer Duty, COBS, and PROD. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in the field.
✨Tip Number 2
Network with current or former employees of St. James's Place to gain insights into their company culture and expectations for the Senior Compliance Advisory Officer role. This can provide you with valuable information that may set you apart from other candidates.
✨Tip Number 3
Prepare to discuss specific examples from your past experience where you've successfully navigated complex regulatory issues. Highlighting your problem-solving skills and ability to provide risk-based opinions will resonate well with the interviewers.
✨Tip Number 4
Showcase your leadership abilities by discussing any experience you have in managing teams or mentoring junior staff. St. James's Place values collaboration and leadership, so demonstrating these qualities can strengthen your application.
We think you need these skills to ace Senior Compliance Advisory Officer
Some tips for your application 🫡
Understand the Role: Thoroughly read the job description for the Senior Compliance Advisory Officer position. Make sure you understand the key responsibilities and required skills, such as knowledge of FCA conduct regulations and experience in compliance advisory roles.
Tailor Your CV: Customise your CV to highlight relevant experience and skills that align with the job requirements. Emphasise your expertise in regulatory frameworks, risk management, and any leadership roles you've held.
Craft a Compelling Cover Letter: Write a cover letter that showcases your passion for compliance and your understanding of the company's culture. Use specific examples from your past experiences to demonstrate how you can contribute to St. James's Place.
Highlight Relevant Qualifications: If you have any regulatory qualifications, such as CII, make sure to mention them prominently in your application. This will help establish your credibility and expertise in the field.
How to prepare for a job interview at St. James’s Place
✨Know Your Regulations
Familiarise yourself with the FCA conduct regulations, especially the Consumer Duty obligations. Being able to discuss these confidently will demonstrate your expertise and readiness for the role.
✨Showcase Your Experience
Prepare to discuss your extensive experience in Compliance Advisory roles, particularly in retail insurance-based investment products. Highlight specific examples where you've successfully navigated complex regulatory issues.
✨Engage with Business Leaders
Be ready to talk about how you can collaborate with senior business leaders. Share examples of how you've provided thought leadership and challenged decisions effectively in previous roles.
✨Prepare Clear Documentation
Practice producing clear and concise scope documents and compliance reports. This skill is crucial for the role, so be prepared to discuss your approach to creating these documents during the interview.
