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Regulatory Assistant

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Perspective Financial Group Ltd

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Location:
United Kingdom

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Category:
Finance

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Contract Type:
Not provided

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Salary:

Not provided
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Job Description:

As the Regulatory Assistant, you will play a critical role in supporting the Head of Regulation; the Internal Audit Manager and the Complaints Manager to drive regulatory outcomes. The principal focus of your role will be supporting the Complaints Manager, with the remainder of your time split between the Internal Audit Manager and the Head of Regulation. You will work as an integral part of the Team. The role is an opportunity to help enhance client outcomes by becoming involved in not only complaint handling but the broader areas that operate behind the scenes to support good customer service; and to help to ensure that regulatory compliance requirements are maintained.

Job Responsibility:

  • Liaise with relevant teams to gather information pertinent to the complaint
  • Interrogate relevant systems to obtain information relating to the complaint
  • Create a timeline on complex cases
  • Support with the record keeping of complaints
  • Support with data extraction from PowerBI Dashboards to enable Board reporting and analysis of trends
  • Draft communications as instructed by the Complaints Manager
  • Be involved in the drafting of Policy documents and training material for the wider business
  • Support in the handling of errors and omissions
  • Extraction of data to support the audit underway from relevant systems/individuals including use of PowerBI to enable the Internal Audit Manager to progress with the audit
  • Find out answers to questions which arise during the audit
  • Proof read audit reports
  • Provide support around consumer duty matters including supporting the annual Board Report production
  • Provide support in the drafting of governance frameworks
  • Support the management and administration of the Third-Party Supplier Framework and associated due diligence
  • Undertake ad hoc tasks as they arise

Requirements:

  • Previous experience of the rules and requirements of the Financial Conduct Authority (FCA)
  • The ability to analyse information
  • Excellent communication skills
  • Excellent attention to detail
  • Proficient in time management and diary management
  • The ability to work as part of a Team
  • Good level of relevant technical knowledge
  • Detailed and analytical
  • Ability to challenge if something does not look right
  • Ability to maintain impartiality when assessing information
  • Experience of MS applications including Excel
  • Willingness to develop knowledge and skills
  • Previous experience in the Financial Services Industry
  • An understanding of the requirements of the FCA
  • Ability to remain calm and professional at all times
  • Analytical mindset with a focus on continuous improvement
  • Strong written and verbal communication and interpersonal skills
  • Ability to interact professionally with Stakeholders at all levels

Nice to have:

  • Regulatory professional qualifications preferable e.g. RO examinations or equivalent
  • Knowledge of Visio would be useful but can be learned
What we offer:
  • 25 days holiday (rising with length of service) plus Bank Holidays
  • Holiday Purchase Scheme
  • Birthday leave
  • E-Discounts
  • Electric Car Scheme
  • Life Assurance
  • Pension
  • Corporate Eyecare
  • Cyclescheme
  • Employee Referral Scheme
  • Learning & Development Programme (Perspective Academy)

Additional Information:

Job Posted:
January 01, 2026

Employment Type:
Fulltime
Work Type:
Remote work
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