- Locations Marylebone Place, 1 Wyndham Street , London, W1H 1EF, GB (On-site)
- Contract Type Permanent
Job Description
Senior Compliance Officer-Investor Protection Compliance
NAME:
CORPORATE JOB TITLE:
POSITION:
Investor Protection Compliance
REPORTS TO:
Head of Investor Protection Compliance
SIGNIFICANT MANAGEMENT FUNCTION (YES/NO):
No
PRESCRIBED RESPONSIBILITY:
No
MATERIAL RISK TAKER (YES/NO):
No
CERTIFIED (YES/NO):
No
LAST UPDATED:
August 2026
Main Responsibilities
The UK Regulatory Compliance Team is primarily responsible for providing timely, risk-based advice, challenge, and enablement to the business on regulatory matters. The Investor Protection Compliance team sits within UK Regulatory Compliance and assists in managing compliance risk across UBP UK, contributing to regulatory change implementation, and helping to maintain effective policies, training, and governance in line with UK requirements and UBP standards relating to investor and client protection. Investor Protection Compliance ensures investors and clients are treated fairly and transparently, topics include but are not limited to; disclosures, suitability & appropriateness, conflicts of interest, complaints handling, marketing and client communications, vulnerable customers, responsible lending, product governance and best execution.
This role requires a proactive professional with deep regulatory knowledge, strong analytical capabilities and the ability to influence stakeholders across the business at all levels.
The role holder is responsible for:
supporting the Investor Protection Compliance team and Head of Investor Protection Compliance in fulfilling the main responsibilities, as set out above.
providing timely and expert advice on investor protection regulations, including those listed above.
interpreting, analysing and supporting the implementation of regulatory changes affecting the business.
the management of compliance risk across UBP UK’s business. The role holder will liaise with colleagues in the UK Regulatory Compliance team, Financial Crime and overseas offices as appropriate, to ensure local regulations and wider department processes are considered.
providing advice and independent challenge to any areas of the UBP business or any investor protection compliance topics as agreed with management. The role holder will also be expected to take the lead in supporting business and regulatory projects and provide cover for other members of the team as needed.
reviewing and approving complex financial promotions, marketing materials and client facing communications.
reviewing and advising on the continuing adequacy of relevant policies and processes considering UK regulatory requirements and market and business development
analysis of regulatory developments and implementation of relevant projects and regulatory changes relating to investor protection compliance
contributing to risk assessments, training and internal governance reporting activity as required.
Role Duties
Investor Protection Compliance:
Keep abreast of external regulatory and business developments and help develop and implement policies and procedures to reflect new requirements
Analysis of regulatory developments where required for investor protection topics, including initial impact analysis and supporting the relevant SMF in conducting the more detailed gap analysis.
Contribute to compliance reporting, dashboards, and management updates, ensuring data is timely, accurate, and consistent.
Contribute to improving the process and procedures to meet consumer duty principles and other conduct requirements within the regulatory framework, Treating Customers Fairly and sound risk management
Provide stakeholders with sound and timely advice, guidance and support, where appropriate.
Regularly review investor protection related policies and other written guidance for accuracy and completeness.
Evaluate and advise upon proposed new products/ services and other business initiatives.
Develop, draft and support training, communications, and guidance that translates regulatory expectations into practical steps for the business.
Review and investigate, where needed, of escalations from business assurance relating to; cross border, client-opt ups, suitability and appropriateness.
Review of regular reports related to complaints from business assurance to ensure regulatory risks are being accurately captured and themes identified.
Identify, investigate and escalateregistering regulatory compliance risks.
Team Management and Collaboration:
Uphold the UBP values and, by example, support culture of compliance with policies, appropriate risk management and the principle of treating customers fairly.
Support management and the team through active participation in regular team and 1-2-1 meetings
Partner with business stakeholders to support compliance objectives and business enablement
Lead and participate in group projects as appropriate and required
Work within the team to help identify areas for improvement and efficiency
Support the team and act as cover for other members where required.
Support more junior members of the team by acting as source of expert advice and mentoring.
Business & Market Knowledge
Develop and sustain technical knowledge across the products and services of UBP to ensure business is supported.
Retain updated personal knowledge of wealth management/private banking market, ensuring that the reputation of UBP is upheld to the highest level possible in terms of compliance and reputation internally and externally.
Consider treating customers fairly and good customer outcomes in all activities.
Internal Control
Maintain full, accurate files/notes of key meetings and advice using UBP core systems to store.
Log, triage, and track compliance issues, incidents, and inquiries.
Conduct root-cause analysis and follow-up actions.
Ensure management are kept informed of key risks and issues.
The job description is not exhaustive and may include other duties as assigned from time to time by management. Specific duties may evolve based on business needs, regulatory changes, and the candidate’s strengths and interests.
Committee Membership
- None
- May be delegated attendance as required.
Conduct Rules
This role is required to comply with the Financial Conduct Authority’s (FCA) Individual Conduct Rules, which are:
- To act with integrity;
- To act with due skill, care and diligence;
- To be open and cooperative with the FCA, the Prudential Regulation Authoritity (PRA) and other regulators;
- To pay due regard to the interests of customers and treat them fairly;
- To observe proper standards of market conduct; and
Strong knowledge of UK financial regulations including but not limited to: MiFID II, Consumer Duty, FCA rulebook
Strong understanding of high-risk and complex investment products, including hedge funds, private markets and collective investment funds.
Significant (7 years+) Financial Services experience preferable
Proven experience in Compliance within wealth management or private banking
Proven ability to assess and analyse information
Proven ability to interpret regulation, identify risks and analyse potential control gaps
Strong attention to detail and focus
Strong written & communication skills, with the ability to influence senior stakeholders
Ability to work independently, proactively and manage multiple priorities
Proactive and solution-oriented mindset
Strong attention to detail and focus
High level of integrity and sound professional judgement
Desirable but not a prerequisite:
Knowledge/experience within asset management
Knowledge/experience within banking/credit desirable
Competencies and Values Required Level
Shows the drive to perform and be successful 5
Persistent in following up and through on issues 5
Upholds the legal, regulatory and ethical standard of the UBP Group 5
Good product knowledge 5
Knowledge of legal regulatory and industry requirements 5
Business Development 2
Communication - listening, written and verbal with clients 5
Influencing 5
Flexibility 4
Relationship Building - internal and external 4
Strategic & commercial awareness 4
Planning & organising 4
Ethics and values 5
Customer focus 5
Explanation: 1: low level of competence / skill required, 2-3: average level of competence / skill required, 4-5: high level of competence skill required
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