Compliance Contractor

COMPLIANCE CONTRACTOR

LOCATION: SWINDON

DURATION: 6 MONTH CONTRACT

SALARY: DAILY RATE £450-£475

OVERVIEW:

Outsource UK are actively seeking to recruit a Complaince Contractor who will be required to provide compliance support to a project tasked with developing a new Advisory firm. This will cover all regulatory requirements applicable across the following potential work.

KEY RESPONSIBILITIES:

- Act as Project Compliance SME alongside Compliance department colleagues. Support project team members as required.
- Supporting the completion of FCA application forms and the collation of supporting evidence required as part of the application process.
- Population of a 'rules map', articulating the regulatory requirements applicable to the development and how they apply to the various workstreams.
- Validating workstream leaders are implementing processes, outputs, systems and controls that comply with applicable regulatory standards. This will include a Training & Competence scheme, KPI's for operational and propositional management, regulatory reporting and customer-facing documents
- Documentation of a compliance monitoring plan providing details of the topics to be reviewed, comparative degree of regulatory risk, applicable rules and guidance etc.
- Oversight of amendments to existing compliance sensitive governance documents and/or creation of new governance documents covering Reviews, Regulatory Change and Consultancy, with the aim of ensuring adequate on-going compliance arrangements are in place for the new Advisory firm.
- Providing training for Compliance staff, with the aim that by the end of the job holder's contract, adequate technical expertise exists within the Compliance function to oversee and support the new Advisory firm.

SKILLS REQUIRED:

- Qualified to full QCF level 4 or beyond. This would preferably include one of the following Chartered Insurance Institute qualifications (Unit AF3 of the Advanced Diploma in Financial Planning, G60 paper of Advanced Financial Planning Certificate or Fellow or Associate including three pensions-related subjects as confirmed by the examining body).
- Excellent knowledge of the regulatory requirements applicable to Advisory firms.
- Experience of designing advice related compliance/control process for digital/telephone advice environments
- Experience of assessing suppliers/tendors to supply systems to manage compliance processes linked to the supply of advice
- Significant experience of working within a compliance environment ie identifying and mitigating regulatory risks across Monitoring, Regulatory Change/Interpretation and Consultancy disciplines.
- Good knowledge of the advice, investment, protection and annuity markets.

THE REWARD:

In return we are offering an attractive salary plus a generous benefits package including bonus and defined contribution pension scheme.

Outsource UK is an independently owned national staffing business specialising in the supply of contract and permanent IT and Engineering resource.

Our experienced staff have extensive knowledge of and contacts in the IT, engineering, defence and financial services sectors in which we specialise. We offer a consultative approach and have a reputation for providing a superior service to both clients and contractors.

Do you know anyone who might be looking for a new role? You could benefit with our candidate referral scheme. Contact us for more details.