IFA Compliance & Policy Supervisor

NJR Recruitment are currently working in Partnership with an established consultancy practice with the aim of challenging the existing dynamics of adviser support within the financial services industry. Our client is a leading provider of consultancy support, offering bespoke compliance and regulatory services. They are currently looking for an experienced compliance individual to join their team in the senior role of Policy Supervisor.

Responsibilities:

• To assess the impact of regulatory change both for clients and internal colleagues, and to deliver and communicate effective guidance and action plans as required. This could also include presenting on regulatory matters to advisers and brokers at compliance/CPD events
• To work closely with all other senior colleagues to ensure delivery of quality and value adding policy guidance
• Constant monitoring of FCA and other regulatory and industry related communications
• Assimilate regulatory information and communicate to clients and internal colleagues in clear, easy to understand terms, highlighting the relevance of the information to both clients and colleagues.
• Implement timely updates to all relevant compliance material in line with regulatory changes
• Contribute to internal and client facing publications
• Control and manage content of CPD support material
• Provide project support to senior colleagues as required

Experience and Skills:

• Excellent coordination and delegation skills
• High level of attention to detail
• Ability to interpret information and data and to analyse where existing procedures and practices do not meet with current regulatory standards
• Ability to communicate effective courses of action in order to address regulatory change or shortcomings, both to clients and internally
• Excellent standard of written & verbal communication
• Ability to manage own time, workload and to ensure that all communications are made in a timely fashion
• Ability to self-motivate in self learning and the recording of CPD.
• Demonstrably sound knowledge of the UK regulatory framework
• Advanced Diploma in Financial Services / Advanced CeMAP, preferred (or equivalent)
• 5 years financial services industry experience, of which 2 years should involve regulatory experience.

The ideal candidate will have a professional and positive attitude and will be able to be pro-active in their approach to client work. This is an excellent opportunity to help shape and deliver future regulatory guidance and support from a highly respected and well-established firm in the regulatory consultancy arena. If you feel like this might be the role for you then apply online or for further information speak to one of our specialist consultants quoting reference NJR