VP Compliance Advisory

VP – Compliance Advisory | Retail Products | London | Global Financial Services Firm

A leading global financial services firm is looking to appoint a Vice President – Compliance Advisory to join its London-based Compliance function.

The role will focus on providing practical, commercially minded compliance advice across the firm’s retail products and services, working closely with senior stakeholders across the business, Product, Legal, Risk and wider Compliance teams.

This is an opportunity for a Compliance Advisory professional who understands the regulatory requirements surrounding retail financial products and can translate complex regulation into clear, practical guidance for the business.

Key responsibilities

• Provide day-to-day compliance advice across a range of retail products and business activities.
• Advise on new product development, product changes and regulatory requirements throughout the product lifecycle.
• Assess regulatory risks associated with retail products and provide clear recommendations to senior stakeholders.
• Provide advice on customer outcomes, product governance, distribution and conduct risk.
• Support the implementation of regulatory change across relevant business areas.
• Work closely with Product, Legal, Risk and Operations to ensure products and processes remain compliant with applicable regulation.
• Monitor regulatory developments and assess their impact on the firm's retail offering.
• Provide guidance on policies, procedures and controls relating to retail customer activities.
• Support regulatory engagement, internal reviews and compliance projects where required.

Experience required

• VP-level Compliance Advisory experience, ideally gained within a bank, broker, investment firm, fintech or other regulated financial services environment.
• Strong understanding of UK retail financial services regulation and conduct requirements.
• Experience advising on retail investment products is highly desirable.
• Candidates with experience covering CFDs, leveraged products, spread betting or other complex retail trading products will have a distinct advantage.
• Strong knowledge of FCA rules, Consumer Duty, product governance and conduct risk.
• Excellent stakeholder management skills, with the ability to provide clear and commercially practical regulatory advice.
• Ability to operate effectively within a global financial services organisation and work across multiple functions and jurisdictions.