Regulatory Specialist I conducting regulatory activities for health care facilities across Florida. Prepares reports, manages files and provides support for QA reviews in the agency.
About the role
- Compliance Manager at Chip developing and overseeing compliant financial product propositions. Engaging closely with product teams and regulatory submissions to support innovative wealth management solutions.
Responsibilities
- Shaping new propositions directly with the business.
- Driving a compliant and innovative approach within new product offerings.
- Reviewing and updating policies, monitoring and governance frameworks.
- Building strong relationships with first line teams.
- Seeking out knowledge of AI and technical innovations.
- Horizon scanning and reviewing PRA and FCA policy statements.
Requirements
- Strong written skills and excellent attention to detail.
- Comfortable drafting regulator-ready documents with minimal support.
- Legal qualification highly desirable.
- Thorough experience in the investments and wealth space.
- Solid knowledge of FCA Financial Advice rules.
- Keen interest in innovation in financial guidance and advice, including AI and Large Language Models.
- Working knowledge of consumer financial promotions regulation including COBS and BCOBS rules is beneficial.
Benefits
- Discretionary Performance-Related Bi-Annual Bonus of up to 10% (Cash) and 5% (Shares)
- Workplace pension scheme - contributing 5% on earnings up to £50,000
- Private medical insurance (medical history disregarded)
- Employee Assistance Programme
- Cycle to work scheme
- Season ticket loan
- Free ChipX subscription for UK-based employees
- 28 days holiday plus bank holidays, plus the days between Christmas and New Year
- Annual training budget for courses, workshops, or conferences
- £30 per month Chip Fitness Benefit to suit your Mental/Physical Wellbeing
- Company laptop
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