Act as a compliance partner to the retail investment platform, advising on propositions, marketing, operations and strategic business change.
Interpret and apply FCA requirements, the FCA Handbook and relevant HMRC legislation covering pensions and ISAs.
Provide regulatory guidance across mutual funds, ETFs and distribution channels including ISAs, JISAs, SIPPs and General Accounts.
Partner with first line teams to assess and mitigate compliance risks, strengthen frameworks and support incident management.
Assess complex regulatory matters and provide clear, practical advice, particularly in relation to Consumer Duty and business growth.
Represent Compliance at internal committees and forums, working with senior stakeholders, Legal and the wider Office of the General Counsel to support consistent outcomes.