Pathways / Compliance, AML & RegTech / Discovery
Discovery · Compliance, AML & RegTech
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About this role
A compliance role in Discovery Group Compliance's FAIS Centre of Excellence, which oversees Discovery's financial services providers, key individuals and representatives. The specialist assesses the quality of financial advice against FAIS, internal policy and Treating Customers Fairly principles, reviews client files, identifies conduct risks, trends and control weaknesses, writes assessment reports with recommendations, and supports compliance training.
The fit board
Tick what is true for you today. A readiness indicator only, not an assessment from or affiliated with the employer.
Tick what is true for you today.
Meeting the lines is the start. How clearly your file shows them is a separate question, and it is the work we do.
A conduct and advice-quality route into financial services compliance, using close reading of rules and files, which is what a law graduate trained in.
Take a short financial advice record and list the five questions you would ask of the file to decide whether the advice was suitable and properly disclosed.
Build the skills for this role
A role's title does not decide your level. Pick the stage that fits you.
These are single-service prices. Prefer a programme? See Executive Programmes
Candidate Responsibility Notice: LexLaunch Careers publishes this opportunity as part of its Pathways career intelligence platform. LexLaunch is not the employer, recruiter, or hiring agent for this role and is not affiliated with Discovery. This listing is published in good faith based on publicly available information verified at the date of publication. Candidates bear sole responsibility for independently verifying the current vacancy status, all eligibility requirements, application instructions, and any other information relating to this role directly with Discovery before submitting an application. Nothing on this page constitutes a guarantee that the role remains open or that candidates who prepare with LexLaunch will be offered an interview or employment.