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Compliance Advisor

  • Salary: £29840 - £44760 per annum
  • Location: Potters Bar, Hertfordshire
  • Sector: Compliance
  • Job type: Contract
  • Date posted:
    09 Jan 2018
  • Job reference: 30160

To collate compliance monitoring results and provide insightful reports and analysis, identifying trends, root causes and advice to management on adjustments to the monitoring plan so that the activity remains risk based.

To carry out the external regulatory reporting to the FCA via Gabriel and to co-ordinate the production of internal compliance reports for committees and the Chief Compliance Officer.

To assist with the coordination of regulatory applications, notifications and supporting documentation for the PRA's Senior Insurance Manager's Regime and the FCA's Controlled Functions Regime, transitioning to the Senior Managers and Certification Regime in 2018.

Support the development of the Compliance Intranet site.

Detailed working knowledge of the regulatory requirements, particularly the FCA. The ability to interpret rules, principles and guidance in practice.

Able to plan, manage and conduct monitoring with minimal supervision.

Sound judgement in balancing regulatory requirements with business needs.

Able to present information in an insightful and clear way.

Maintain effective working relationships with colleagues and other governance functions.


Degree level qualification or equivalent preferred but not essential.

Have or working towards a financial services or regulatory qualification.

Please visit the IDEX Consulting Ltd website for further opportunities. If your application is successful we will contact you to discuss the opportunity in more detail within 2 working days of receiving your application. If your application is unsuccessful, the information supplied may still be retained for use in connection with future vacancies. Due to the overwhelming application response we receive through various sources, should you not hear from us within one week then please assume your application has been unsuccessful.

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