Regulatory Manager

About Portafina

In 2009 we set up Portafina to make pension savings advice clearer, easier and more convenient for clients. As a result, we have developed a way of doing things that is different to most, if not all, other independent financial advisers: where we do all of the hard work for our clients. By February 2018 we were helping over 14,000 people and the pension savings we manage are now in excess of £½ billion. We are very proud of that.

We are focused on:

  • Raising the bar
  • Going the extra mile
  • Offering clarity
  • Fresh thinking
  • Treating our customers the right way
  • Working together

Purpose of the role

To assist the Head of Compliance in ensuring the company is complying with the relevant legislative and regulatory standards.

Role Responsibilities

  1. Keep up to date with relevant laws, regulations, and industry/FCA guidance and practice
  2. Monitor the company’s compliance with laws, regulations and its policies
  3. Oversee and manage the regulatory teams
  4. Oversee the creation and maintenance of the compliance manual, policies and procedures
  5. Oversee thematic reviews of company processes and compliance policies
  6. Assist the Head of Compliance with any projects or tasks
  7. Produce a monthly report for the Head of Compliance
  8. Study towards completing CII qualifications

What are we looking for?

Essential:

  • Knowledge of the relevant regulations and legislation
  • Previous experience in a financial services firm or compliance role
  • Strong attention to detail
  • Excellent communication skills (verbal and written)
  • Strong interpersonal skills
  • Effective organisation and time management
  • Ability to interpret and analyse information
  • Good research skills

Desirable:

  • Educated to degree level in a relevant subject (Law or Business)
  • Level 4 Financial Adviser Diploma Qualified (or working towards this)
  • Previous experience in compliance management

 What do we offer?

  • Full training for the role
  • CII qualifications
  • Private health insurance and death in service cover
  • Company pension scheme
  • 25 days holiday plus bank holidays
  • PartyFina social committee
  • Treatments
  • Birthday day off and vouchers
  • And much more ….

Is this the right role for you?