Regulatory Compliance Specialist
Leeds, England, United Kingdom
Front Row Recruitment
Job DescriptionMy client is a highly regarded, successful, established and award winning pensions specialist currently seeking a talented Regulatory specialist to join a newly established team and be a key figure in advising the business regarding regulatory and risk requirements. Duties will include:Supporting the Head of Compliance to ensure the firm meets its regulatory requirements as set out in the DPB Handbook.Support the firm in its application for its FCA Authorisation, ensuring policies and procedures meet the new requirements.Research, identify and analyse potential regulatory change (DPB and FCA) that may impact the organisation and … process for approving authorised advisor's (new and existing) and transitioning to the FCA's Senior Managers and Certification regime.Coordinate completion of the firms regulatory reporting (quarterly and annual)Complete an annual compliance review in all regulated areas of the business and produce a report to be submitted more »
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