Act as the firm's technical compliance advisor aspect on COBS and all other regulatory requirements
Ensure regulatory changes analysed and communicated to firm's clients (and where necessary to other staff)
Draft appropriate compliance document templates
Ongoing advice to clients and colleagues
You should have current or previous experience of Retail Compliance from the FCA with a good understanding of current regulatory policy in the space including Insurance, Mortgages & Pensions (though no detailed product knowledge or specialist qualification needed, just a firm grasp of COBS as they apply to these areas).
NB Hours likely to be between one to three days on a very flexible basis spread out over the week and weekend (e.g. to fit around childcare or other commitments) depending on time available and business need (whether client driven or when regulatory changes occur). Also as the firm grows, full time may be possible in the future if desired.
So if that sounds like you, then please send your details to our MD, David Symes FCA, at [email protected] (including a contact no) however please note due to Covid we cannot reply to all applications so only successful applications will be contacted (although under no circumstance are your details ever passed on without your specific permission).
Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.
The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.