Regulatory Policy Adviser

Chase de Vere; Manchester; On-site; GBP 60,000 - 80,000; Full time

Job summary

A leading financial advisory firm in the UK seeks a Regulatory Policy Adviser to promote compliance and support regulatory frameworks. The ideal candidate should possess strong knowledge of investment products and relevant regulations. Benefits include annual bonuses, paid volunteering days, and flexible benefits tailored to individual needs.

Benefits

Opportunity to earn an annual bonus

A day off for your birthday

Life assurance – 4 x salary

Comprehensive induction and training programme

Funded exams and paid study leave

The option to buy additional holiday days

Cycle to work Scheme

Employee Assistance Programme

Access to free mortgage service

Local and companywide events for charities

Qualifications

• Strong knowledge of retail investment products.
• Working knowledge of the Financial Services and Markets Act.
• Desirable to have an Investment Compliance Diploma.

Responsibilities

• Identifying upcoming regulatory changes.
• Producing clear communications related to regulatory changes.
• Ensuring compliance with Swiss Life Directives.

Skills

Investment Compliance Diploma

Knowledge of retail investment products

Understanding of Financial Services and Markets Act

Research and Data analysis

Education

Investment Operations Certificate

Job description

Being one of the country’s top Independent Financial Adviser firms is no mean feat but, our independence is key to everything we do. We believe staunchly that the best financial advice for our clients is independent financial advice.

We are looking for a Regulatory Policy Adviser who thrives on making a positive impact on people’s lives and our team here at Chase de Vere . We work at pace but as one team.

What your role will involve

The successful Regulatory Policy Adviser will promote a positive compliance culture within Chase de Vere ensuring departmental messaging is clear and relatable to a varied audience. You will support the business to create a compliant framework for our business to operate within and will ensure our Training and Competence Scheme complies with regulatory requirements and identify and escalate areas of non- compliance.

You will work as a team to ensure all regulatory changes are foreseen and communicated and will work collaboratively with all teams within the legal and regulatory department as well as engaging with stakeholders across the business. In addition to this you will work closely with the compliance helpdesk to assist with any queries relevant to your specialism.

Responsibilities :

• Identifying upcoming regulatory change
• Producing clear and concise communications related to regulatory change
• Ensuring Swiss Life Directives are incorporated in Chase de Vere requirements
• Identifying regulatory guidance and requirements and assess the impact on internal process and systems
• Creating training opportunities via team meetings and online platforms to ensure regulatory messaging is read, understood and complied with
• Providing guidance and support for the Chase de Vere training and competence scheme

What you will need

• An Investment Compliance Diploma is desirable (minimum Investment Operations Certificate)
• Strong knowledge of retail investment products
• Working knowledge of the Financial Services and Markets Act, FCA Handbook, Principles for Business
• Research and Data analysis

What’s in it for you?

By joining Chase de Vere , you’ll have a progressive career with great benefits and a nurturing culture that makes you part of something special.

• Opportunity to earn an annual bonus
• A day off for your birthday
• Life assurance – 4 x salary
• Comprehensive induction and training programme
• Funded exams and paid study leave
• A wide range of voluntary flexible benefits to suit your individual needs
• The option to buy additional holiday days
• Cycle to work Scheme
• Two paid volunteering days each year, to support your local community
• Employee Assistance Programme with access to a 24/7 helpline
• Access to our free mortgage service, through our internal mortgage team
• Our Employee Forum and Diversity & Inclusion group
• Local and companywide events in support of our company charities