Description

Job Description

We are currently recruiting for an exciting opportunity to join the Compliance team as a Compliance Adviser on a fixed term contract basis for 13.5 months.

Role Overview

As the Compliance Adviser you will be responsible for timely and accurate regulatory advice and guidance to the business. You will partner with the business to support the implementation of new regulation, control and service enhancements and any potential remediation projects to ensure that the business understands and meets its regulatory obligations.

The Role

Your role will include:

• Advice and support : Provide guidance to the business on regulatory matters and day-to-day compliance queries applicable to the Group and other firms in the distribution chain.
• Subject matter expertise : Proactively maintain regulatory knowledge for topics allocated by the Senior Compliance Manager and act as a point of reference as required.
• Regulatory change / project support: Partner with the business to support the delivery of regulatory change, including new regulation, control and service enhancements and any potential remediation activity.
• Horizon scanning : Review and analyse regulatory publications and prepare clear summaries and impact considerations for management and key stakeholders.
• Consultations and policy input: Contribute to relevant internal and external consultations, discussions and policy debates where required.
• Regulatory correspondence and engagement : Assist with coordination of communications with regulators, including drafting correspondence, preparing supporting documents, and tracking actions and deadlines.
• Regulatory notifications and reporting : Support the coordination and submission of regulatory notifications and returns in a timely manner, ensuring appropriate records and evidence are maintained.
• SM&CR support: Support end-to-end coordination of SMF and Certified Person applications, including drafting submissions, collating supporting evidence, and tracking progress to completion.
• Management information (MI ): Contribute to MI relating to regulatory projects, regulatory developments and key regulatory issues.

The role requires a candidate educated to degree level, with a strong understanding of the UK financial services industry and its regulatory environment. The successful individual will be able to apply FCA and PRA rules and guidance in practice, particularly in relation to COBS, product governance, and the Consumer Duty, with a clear focus on good customer outcomes.

Applicants must have a minimum of three years' experience working within the financial services investment or fund management sector, preferably in a Compliance or Regulatory role, and have experience providing compliance advisory support within a retail investment firm or pension provider.

Strong written and analytical skills are essential, with confidence using Excel, Word, PowerPoint and CoPilot to analyse information, prepare regulatory documentation and communicate effectively with stakeholders.

A Compliance Diploma or equivalent legal, compliance or financial services qualification is desirable. Experience in areas such as platforms, working with UK regulators, regulatory engagement, regulatory change or project work, consultancy, trade bodies or industry working groups, compliance monitoring, or fund management would be advantageous. Knowledge of products and frameworks including investment bonds, model portfolios, suitability, structured products, vulnerable clients, UK Solvency, and MiFIDPRU would further support success in the role.

About Us

Transact is a leading UK investment wrap platform for financial advisers and their clients. Our culture is collaborative, inclusive and open-minded. We work hard to continually challenge the way we do things to maintain our market leading status.

As a customer-centric and client focused business, we put our clients, like Mrs Miggins, at the heart of everything we do.

Our platform enables clients and their advisers to manage their financial portfolio in one single online place, and is supported by unrivalled personal service. Our goal is to make all aspects of portfolio management as easy and efficient as possible for everyone involved, through the features we develop, our integrations with other systems, and the support we provide.

Our purpose : We enable the Miggins family and their adviser to hold their investments on a single platform across wrappers. We provide custody, tax wrapping, trading and reporting.

Our strategy : We make financial planning easier for advisers by delivering great service. Our platform helps advisers grow revenues and reduce risk and cost in their business. We will always have control of our technology, wrappers and service.

Our values : We do the right thing for customers, advisers, staff, shareholders, suppliers and the wider community.

Transact's parent company, IntegraFin Holdings plc, is listed on the London Stock Exchange and is a constituent of the FTSE 250 index. Established in 2000, today we have over £77.2 billion of funds under direction on behalf of over 249,000 investor clients (as at December 2025).

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.