Ensure a proficient advisory service to BSCO and particularly to the London Office.
To work with the rest of the Advisory team to provide support for the Front Office on a wide range of FCA/PRA issues.
To monitor the regulatory environment (FCA) and provide guidance and support to the firm to ensure we continue to comply – providing Horizon Scanning.
To undertake thematic and specialist reviews across the business in respect of specific regulatory topics and issues as they arise, including assisting other teams within the function in doing so.
To assist in the identification of gap analysis and implementation of relevant regulatory measures and industry guidance pertaining to the regulated activities of the Company. To produce summary reports and impact assessment of consultation documents where requested.
Support training initiatives for the company as a whole, working with HR and others to develop a compliant, business-oriented culture.
Support the business in relation to their Conduct Risk and Policy Frameworks
To develop own professional expertise through on the job training, formal training and, where appropriate professional qualifications
To review Financial Promotions against the regulatory requirements
Knowledge and Experience
A high level of technical proficiency in regulatory compliance.
A high level of technical qualification in the provision of advisory and private banking services and products relevant to their services in the UK market
Attributes and Qualities
Analytical thinker with a close attention to detail and strong work ethic.
Ability to manage complex and changing workload efficiently and to short deadlines
Strong background in UK regulatory compliance and MiFID across all handbooks and source materials.
Ability to analyse regulation and translate into policy, procedure and process