Regulatory Policy Adviser
Location: Manchester / Hybrid – 3 days WFH
Salary: £40,000
We are recruiting on behalf of a National & UK leading firm of Independent Financial Advisors for a Regulatory Policy Adviser to join their Legal & Regulatory team. This is a key role supporting the firm’s compliance framework and ensuring ongoing adherence to regulatory requirements.


Role Overview
The Regulatory Policy Adviser contributes to the firm’s commitment to robust compliance standards. The role covers multiple areas, including financial crime, regulatory training, policy development, financial promotions oversight, and supporting the business with regulatory queries and process improvements.


Key Responsibilities
*Financial Crime: Conduct client due diligence reviews and support fraud, anti-money laundering, and anti-bribery controls.
*Training & Competence: Administer the training and competence scheme, support advisers’ progression to competent status, and manage annual certification activities.
*Compliance Support: Provide guidance and support to stakeholders on complex regulatory queries.
*Policies & Guidance: Draft, update, and maintain policies and guidance documents to ensure compliance with regulatory and business requirements.
*Communication & Training: Prepare and circulate the monthly Regulatory Bulletin and create training sessions to raise awareness of regulatory requirements.
*Financial Promotions Oversight: Review and manage the approval process for financial promotions, ensuring compliance with relevant standards.
*Regulatory Change: Assist in monitoring upcoming regulatory changes and ensuring ongoing compliance.
*Process Improvement: Contribute to improvement projects within Legal & Regulatory, including policy updates, online training enhancements, and strengthening regulatory processes.


Knowledge, Experience & Skills
Knowledge:
*Strong understanding of financial services regulations and FCA requirements
*Knowledge of financial crime, including AML, anti-bribery, fraud, and GDPR
Experience:
*Experience in a relevant role within an FCA-authorised financial services firm
*Working with multifaceted teams and diverse stakeholders
*Interpreting and applying FCA Handbook requirements
Skills:
*Excellent written and verbal communication for policy, reporting, and training purposes
*Strong organisational skills and the ability to prioritise workloads and meet deadlines
*Data analysis using Excel
*Ability to build effective working relationships across all levels of the business


Apply today via NJR Recruitment quoting the reference NJR16313


Please note: Due to a high volume of applications, if your CV does not reflect the essential requirements, or you answer ’no’ to key screening questions, we may not be able to contact you.