Compliance Specialist (3-6 Month Contract)
Investment Management – Integration Project
Overvie
wWe are seeking an experienced Compliance Specialist to support an investment management business on a 3-month contract as part of a broader post-acquisition integration programme
.They are looking for someone to come in and support the two senior compliance leaders within the business to do a gap analysis on their policies and procedures and then take action by rewriting/developing the policies and procedures either through consolidation or separation, depending on the needs of the integration
London-based, ideally 3 days a week in the office, looking at circa 600-650 per day
Key Responsibilities
- Conduct a comprehensive gap analysis of existing compliance frameworks across both legacy entities
- Review and compare policies, procedures, and controls against: Applicable regulatory requirements, Internal standards and best practice
- Identifying any missing or outdated policies and any key compliance risks arising from the integration
- Policy & Procedure Review: Assess the quality, completeness, and applicability of all core compliance documentation, including: Compliance manuals, Financial crime / AML frameworks ect..
- Support the design of a target operating model for compliance
- Assist in integrating systems, controls, and governance structures
- Ensure alignment with regulatory expectations during the transition period
- Produce a formal gap analysis report, including: Key findings and risk ratings, Recommended remediation actions and a prioritised implementation roadmap
- Support delivery of agreed remediation actions where required
Key Requirements
- Proven compliance/regulatory experience in buy-side compliance (asset management/investment management)
- Strong experience in the following: Policies & procedures review and drafting
- Conducting gap analyses in regulated environments
- Solid understanding of relevant regulatory frameworks (e.g. FCA rules, AIFMD, MiFID II, SMCR)
- Ability to operate independently in a fast-moving, project-based environment
- Ability to synthesise complex regulatory requirements into practical outputs
