Compliance Consultant - Compliance Team Leader - Compliance Analyst

COMPLIANCE CONSULTANT - COMPLIANCE TEAM LEADER - COMPLIANCE ANALYST - LIFE AND PENSIONS - FCA COBS ICOBS

We are keen to secure the services of an experienced Compliance Specialist to cover all regulatory needs for a Team within the Life Industry.

The potential work streams are likely to include:
Advice operating model (Design), FCA applications (Form A, Variation of Permission, Change of Control);
T
supporting the completion of FCA application forms;
population of a rules map', articulating the regulatory requirements applicable to the development and how they apply to the various work streams;
validating work stream leaders are implementing processes, outputs, systems and controls that comply with applicable regulatory standards (This will include a Training
and documentation of a compliance monitoring plan.

The successful individual is likely to bring some/all of the following:
FCA experience (including COBS or ICOBS);
QCF qualifications (ideally level 4 and including life and Pensions related subjects);
excellent knowledge of the regulatory requirements applicable to Advisory firms;
experience of designing advice related compliance/control processes;
and good knowledge of Life and Pennons markets including advice, investment, protection and annuity.