Compliance Adviser - Consumer Outcomes

London, United Kingdom
£45k - £60k
22 May 2023
25 May 2023
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
We have an exciting opportunity to join the Compliance Department on a permanent basis to provide advice to the business on Consumer Duty and Customer Outcomes, as well as supporting the department more widely by undertaking monitoring activities and assessing performance in these areas.

About us
Transact is the leading independent investment wrap platform in the UK. Established in 2000, we have over £52.0 billion of funds under direction (as at December 2022) on behalf of over 7,600 advisers and 226,000 investor clients. Our service includes an online platform, owned and built by us, and dedicated regional adviser support to help bring clients' assets and investments together in a smarter, more tax efficient way. We offer access to a wide range of tax wrappers (including ISAs, pensions and life insurance investment bonds) and funds which advisers use to build client investment portfolios. Portfolio valuations, purchases and sales are all supported via Transact Online which is available 24/7. Transact's parent company, IntegraFin Holdings plc, is listed on the London Stock Exchange and is a constituent of the FTSE 250 index.

Role responsibilities include:
  • Provide SME advice to the business on regulatory matters related to Consumer Duty and Consumer Outcomes.
  • Monitoring the business' compliance with the Consumer Duty rules.
  • Provide written and verbal reports on Consumer Duty and Customer Outcomes to senior management.
  • Undertake other compliance work when needed which will cover other regulatory areas.
  • In conjunction with policy owners across the business contribute to the annual review of Consumer Duty related policies.
  • When required, provide input to the periodic review of Compliance-owned pages on Transact's intranet site, "Integranet".
  • Design and undertake Consumer Duty and Consumer Outcome related monitoring activities.
  • Work with the business to improve consumer outcomes.

Who we're looking for:

The successful candidate will have at least two years' experience working in a compliance related role, with an understanding of the consumer duty rules. Ideally they will also have finance related qualifications and will have excellent IT skills, being familiar with Excel, Word and PowerPoint. Strong communication skills, verbal and written, are a must as reports may need to be delivered to senior stakeholder in the business. Experience in report writing, MI and project work would be beneficial alongside product governance and vulnerable client experience.

The role is based in our central London office on a hybrid working basis. This comprises two days a week in the office and three days a week from home.

Equal Opportunities

We provide a diverse and inclusive workplace and ensure that all of our staff respect and understand individual differences. We are an equal opportunities employer and positively encourage applications from suitably qualified and eligible candidates regardless of age, disability, gender reassignment, marital or civil partner status, pregnancy or maternity, race, religion or belief, sex or sexual orientation.
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