Regulatory Compliance Advisor - 12 month FTC (MAT)

Quintet Private Bank

Ver: 125

Día de actualización: 05-02-2024

Ubicación: Manchester North West

Categoría: Finanzas / Banco / Acciones


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Contenido de trabajo

Purpose of the Job

Quintet Private Bank is a leading private bank in the wealth management sector; we are committed to our clients and their families, and pride ourselves on our personalised service based on a deep understanding of what clients want to achieve. Compared to others, we are small (<2,000 employees across 50 European and UK locations) with an ambition to stay true to our purpose to be the most trusted fiduciary of family wealth. When you join Quintet you are joining a company that values diversity of background, equal access to opportunities, career development, collaboration and inclusiveness. We want our employees to feel proud of being part of a company that is committed to do the right thing. You will have the opportunity to grow your career while developing personally and professionally through various resources and programmes.

The principal duty of the Regulatory Compliance Advisor is supporting the Senior Regulatory Compliance Manager in delivering high-quality compliance advice to colleagues in all Brown Shipley’s offices in the areas of: Regulatory culture, investor protection, market abuse, sustainable finance and cross-border regulations. Advice is effectively being delivered on a daily basis to the business by drafting policies and guidelines, supporting the first line of defence in the drafting of their procedures, supporting BSCo’s Regulatory Watch process, being an active part in regulatory projects and answering to enquiries received from the business. The role holder also assists the UK Head of Compliance (SMF16) in his interactions with the regulators.

This is a 12 month fixed term contract, due to maternity cover.

Key Accountabilities

1. To draft and maintain BSCO’s Regulatory Compliance policy framework and support other regulatory compliance officers across the EU in the drafting and maintaining of the Group’s Compliance framework
To work under the Senior Manager’s direction to provide support to BSCo’s Head of Compliance (SMF16), rest of the Compliance Team and all areas of the business on a wide range of FCA/PRA issues. To act as the main point of contact for compliance queries.
2. To monitor the regulatory environment (FCA) and provide guidance and support to the firm to ensure we continue to comply – providing Horizon Scanning.
3. To undertake thematic and specialist reviews across the business in respect of specific regulatory topics and issues as they arise.
4. To assist in the identification of gap analysis and implementation of relevant regulatory measures and industry guidance pertaining to the regulated activities of the Company. To produce summary reports and impact assessment of consultation documents where requested.
5. Support training initiatives for the company as a whole, working with HR and others to develop a compliant, business-oriented culture.
6. Support the business in relation to their Conduct Risk Framework
7. To develop own professional expertise through on the job training, formal training and, where appropriate professional qualifications.
8. To review Financial Promotions against the regulatory requirements.

Knowledge and Experience

A good working knowledge of the FCA and PRA handbooks
The ability to interpret rules and regulation and communicate the requirements clearly and effectively
Experience of drawing up and maintaining policies on regulatory requirements
Excellent written, verbal, numeric and comprehension skills and IT proficient

Attributes and Qualities

Aligns to a team with a strong work ethic who, collectively and individually, understand the importance of meeting deadlines through a ‘can-do’ attitude.
Ability to work cooperatively and positively within the team and across the business to engage stakeholders in a positive way with a focus on delivering outcomes.
To work and conduct yourself with skill, professionalism, discretion and values befitting a member of the Compliance Department.
Ability to engage people effectively in order to recognise and achieve agreed outcomes.
Excellent record keeping - use of ascribed folders, naming conventions, dating and version control – required to create a lasting and robust records upon which the senior managers can rely.Effective diary and work management

Technical Skills

Would be regarded as a subject matter expert in regulatory compliance topics applied to wealth management and private banking including;
Conduct of Business and FCA accountability regime
Investor Protection
Market Abuse
Cross-Border compliance

Languages Skills

Fluent in English. Other European languages (particularly French) is not essential for this role, but will be considered as an advantage

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Plazo: 21-03-2024

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