At a Glance
- Tasks: Build relationships, provide compliance advice, and support projects in a dynamic wealth management environment.
- Company: Leading Wealth Management business in London with a strong compliance culture.
- Benefits: Competitive salary of £60,000 pa, hybrid work, and a comprehensive benefits package.
- Other info: 12-month FTC role with opportunities for professional growth and development.
- Why this job: Join a team that shapes compliance culture and drives industry best practices.
- Qualifications: Experience in UK Wealth Management and knowledge of FCA regulations required.
The predicted salary is between 60000 - 60000 £ per year.
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
Compliance Advisory Associate (12 Month FTC) in Slough employer: Rev & Regs
Rev & Regs is an exceptional employer, offering a dynamic work environment in the heart of the City of London. With a strong focus on employee growth and development, we provide comprehensive training and support for our team members, ensuring they stay at the forefront of tax compliance and operational excellence. Our hybrid working model promotes a healthy work-life balance, while our commitment to innovation and collaboration fosters a culture where every voice is valued and impactful.
