At a Glance
- Tasks: Provide regulatory advice and support to ensure compliance with financial regulations.
- Company: Join Transact, a leading UK investment wrap platform with a collaborative culture.
- Benefits: Gain valuable experience in compliance within a dynamic financial services environment.
- Other info: Inclusive workplace that values diversity and offers growth opportunities.
- Why this job: Make a real impact by helping businesses navigate regulatory changes and enhance their services.
- Qualifications: Degree level education and three years' experience in financial services compliance required.
The predicted salary is between 40000 - 50000 € per year.
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.
Your role will include:
- Advice and support: 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.
- Subject matter expertise: Proactively maintain regulatory knowledge for topics allocated by the Senior Compliance Manager and act as a point of reference as required.
- Regulatory change / project support: Partner with the business to support the delivery of regulatory change, including new regulation, control and service enhancements and any potential remediation activity.
- Horizon scanning: Review and analyse regulatory publications and prepare clear summaries and impact considerations for management and key stakeholders.
- Consultations and policy input: Contribute to relevant internal and external consultations, discussions and policy debates where required.
- Regulatory correspondence and engagement: Assist with coordination of communications with regulators, including drafting correspondence, preparing supporting documents, and tracking actions and deadlines.
- Regulatory notifications and reporting: Support the coordination and submission of regulatory notifications and returns in a timely manner, ensuring appropriate records and evidence are maintained.
- SM&CR support: Support end-to-end coordination of SMF and Certified Person applications, including drafting submissions, collating supporting evidence, and tracking progress to completion.
- Management information (MI): Contribute to MI relating to regulatory projects, regulatory developments and key regulatory issues.
The 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.
About Us: Transact is a leading UK investment wrap platform for financial advisers and their clients. Our culture is collaborative, inclusive and open-minded. We work hard to continually challenge the way we do things to maintain our market leading status.
As a customer-centric and client focused business, we put our clients at the heart of everything we do. Our platform enables clients and their advisers to manage their financial portfolio in one single online place, and is supported by unrivalled personal service. Our goal is to make all aspects of portfolio management as easy and efficient as possible for everyone involved, through the features we develop, our integrations with other systems, and the support we provide.
Our purpose: We enable families and their advisers to hold their investments on a single platform across wrappers. We provide custody, tax wrapping, trading and reporting.
Our strategy: We make financial planning easier for advisers by delivering great service. Our platform helps advisers grow revenues and reduce risk and cost in their business. We will always have control of our technology, wrappers and service.
Our values: We do the right thing for customers, advisers, staff, shareholders, suppliers and the wider community.
Transact's parent company, IntegraFin Holdings plc, is listed on the London Stock Exchange and is a constituent of the FTSE 250 index. Established in 2000, today we have over £77.2 billion of funds under direction on behalf of over 249,000 investor clients (as at December 2025).
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.
Compliance Adviser (Fixed Term) - Transact in London employer: Transact
Transact is an exceptional employer, offering a collaborative and inclusive work culture that prioritises employee growth and development. With a strong focus on regulatory compliance within the financial services sector, employees benefit from meaningful work that directly impacts client outcomes, alongside opportunities for professional advancement in a dynamic environment. Located in the UK, Transact provides a unique chance to be part of a leading investment wrap platform, where innovation and customer-centricity drive success.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Adviser (Fixed Term) - Transact in London
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial services sector and let them know you're on the lookout for a Compliance Adviser role. You never know who might have the inside scoop on an opportunity or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by brushing up on your regulatory knowledge. Make sure you can confidently discuss FCA and PRA rules, especially around COBS and the Consumer Duty. This will show that you're not just a candidate, but a potential asset to the team.
✨Tip Number 3
Practice makes perfect! Conduct mock interviews with friends or mentors to refine your answers and get comfortable discussing your experience in compliance advisory roles. The more you practice, the more confident you'll feel when it counts.
✨Tip Number 4
Don't forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are proactive about their job search and genuinely interested in joining our team.
We think you need these skills to ace Compliance Adviser (Fixed Term) - Transact in London
Some tips for your application 🫡
Tailor Your Application:Make sure to customise your CV and cover letter for the Compliance Adviser role. Highlight your experience in regulatory matters and compliance advisory support, as this will show us you understand what we're looking for.
Show Off Your Skills:We want to see your strong written and analytical skills shine through. Use clear examples of how you've applied FCA and PRA rules in your previous roles, especially in relation to customer outcomes.
Be Clear and Concise:When writing your application, keep it straightforward. We appreciate clarity, so avoid jargon and get straight to the point about your qualifications and experiences that relate to the job.
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 for the role. Plus, it shows you're keen on joining our team!
How to prepare for a job interview at Transact
✨Know Your Regulations
Make sure you brush up on the latest FCA and PRA rules, especially those related to COBS and the Consumer Duty. Being able to discuss these regulations confidently will show that you're not just familiar with compliance but are also proactive about staying updated.
✨Showcase Your Experience
Prepare specific examples from your past roles where you've successfully provided compliance advice or managed regulatory changes. This will help demonstrate your hands-on experience in the financial services sector and how it aligns with the role.
✨Be Ready for Scenario Questions
Expect questions that ask how you would handle specific compliance scenarios. Think through potential challenges you might face in the role and how you would approach them, showcasing your analytical skills and problem-solving abilities.
✨Engage with the Interviewers
Don't forget that interviews are a two-way street! Prepare thoughtful questions about the company's compliance culture and how they handle regulatory changes. This shows your genuine interest in the role and helps you assess if it's the right fit for you.
