Rev & Regs are recruiting for an experienced 'Compliance Advisory Associate' on behalf of a leading Wealth Management business in London. This is a 12 month FTC role initially.
Responsibilities:
- Build and maintain strong working relationships across the business to promote a positive compliance culture.
- Provide advice and guidance to business areas on regulatory requirements, internal compliance policies, and procedures.
- Assist in the implementation of compliance policies, internal controls, and procedures, including developing and delivering compliance training to employees.
- Support compliance projects by collaborating with cross-functional teams and leading specific workstreams where required.
- Produce management information and reporting for governance committees, senior management, and the Board.
- Assist management in ensuring the business operates in line with FCA regulatory requirements, the Conduct Risk framework, Consumer Duty, and industry best practice.
- Provide support to specialist compliance functions, including Monitoring & Testing, Financial Crime, and Regulatory Change initiatives, as required.
- Maintain accurate compliance records and documentation in line with regulatory expectations and internal standards.
- Undertake ad hoc compliance reviews, projects, and other responsibilities as required.
Experience:
- Relevant experience in a UK Wealth Management, Investment Management or Private Banking environment.
- Knowledge of UK Regulatory environment and FCA handbook.
- Good product and investment management services knowledge, including investment suitability.
- Professional qualifications such as CISI Diploma in Investment Compliance would be desirable.
- Working knowledge of UK regulations including COBS, TC, COCON, SYSC, SUP, PROD, DTR, DISP, Consumer Duty and Conduct Risk.
Salary: £60,000 pa + benefits package
Location: Hybrid (3 days per week in London office)
Work type: 12-month FTC initially
