Senior Compliance Consultants (Wealth, Pensions, & Investments)
Location: Remote
Contract: up to 3 months
We’re supporting a client with multiple hires for contract roles for senior compliance professionals to support a regulatory due diligence projects within the wealth / investments / pensions space. These are would start at short notice and are fully remote.
This is document-led, analytical work requiring strong regulatory judgement and the ability to risk assess existing frameworks, policies, processes, controls and governance at pace.
The work will involve:
Reviewing existing compliance documentation (SMCR, governance, risk registers, policies, MI, sales & advice processes etc)
Identifying gaps, risks and areas requiring remediation or escalation
Providing clear, pragmatic written and verbal feedback
We’re keen to speak to contractors with:
Senior compliance experience / previous SMF16 experience (desirable not essential) from wealth management, IFAs, investment platforms or SIPP / pensions
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Contact Details:
Butler Rose- Compliance, Risk & Financial Crime Recruitment Team
