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Compliance Adviser

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Transact

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Location:
United Kingdom , London

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Category:
Legal

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Contract Type:
Not provided

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Salary:

80000.00 GBP / Year
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Job Description:

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.

Job Responsibility:

  • 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
  • proactively maintain regulatory knowledge for topics allocated by the Senior Compliance Manager and act as a point of reference as required
  • partner with the business to support the delivery of regulatory change, including new regulation, control and service enhancements and any potential remediation activity
  • review and analyse regulatory publications and prepare clear summaries and impact considerations for management and key stakeholders
  • contribute to relevant internal and external consultations, discussions and policy debates where required
  • assist with coordination of communications with regulators, including drafting correspondence, preparing supporting documents, and tracking actions and deadlines
  • support the coordination and submission of regulatory notifications and returns in a timely manner, ensuring appropriate records and evidence are maintained
  • support end-to-end coordination of SMF and Certified Person applications, including drafting submissions, collating supporting evidence, and tracking progress to completion
  • contribute to MI relating to regulatory projects, regulatory developments and key regulatory issues

Requirements:

  • Educated to degree level
  • strong understanding of the UK financial services industry and its regulatory environment
  • ability 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
  • minimum of three years’ experience working within the financial services investment or fund management sector, preferably in a Compliance or Regulatory role
  • experience providing compliance advisory support within a retail investment firm or pension provider
  • strong written and analytical skills
  • confidence using Excel, Word, PowerPoint and CoPilot to analyse information, prepare regulatory documentation and communicate effectively with stakeholders.

Nice to have:

  • Compliance Diploma or equivalent legal, compliance or financial services qualification
  • 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
  • knowledge of products and frameworks including investment bonds, model portfolios, suitability, structured products, vulnerable clients, UK Solvency, and MiFIDPRU

Additional Information:

Job Posted:
May 05, 2026

Employment Type:
Fulltime
Work Type:
On-site work
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