Regulatory Policy Adviser

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.

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.

• 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 complian...