Compliance Advisory Contractor

Broadgate; London; On-site; GBP 40,000 - 70,000; Full time

Job summary

An established industry player is seeking a compliance advisory professional to enhance their regulatory framework. In this role, you will contribute to drafting policies based on FCA rules, provide compliance advice, and support the business in navigating regulatory obligations. Your analytical skills will be vital in reviewing compliance reports and assisting with projects that strengthen the firm's compliance culture. Join a dynamic team dedicated to maintaining high standards in compliance within the investments and wealth management sector, and play a key role in shaping the future of regulatory practices in the organization.

Qualifications

• Experience in compliance advisory roles, particularly in investments and wealth management.
• Strong understanding of FCA rules and regulatory obligations.

Responsibilities

• Draft compliance policies based on FCA rules and guidance.
• Provide compliance advice and support to the business.
• Monitor regulatory developments and assess their impact.

Skills

Compliance Advisory

Regulatory Knowledge

Analytical Skills

Policy Drafting

Communication Skills

Education

Degree in Law, Finance, or related field

Job description

Job Description

We are looking for a compliance advisory professional who can:

• Contribute to the drafting of initial policy and procedure documentation based upon FCA rules & guidance.
• Help to map regulatory obligations to existing and new policy provisions, ensuring comprehensive coverage.
• Provide support in offering compliance advice to the business on key regulatory matters relevant to the investments, platform, and wealth management sector, under the guidance of senior team members.
• Act as an initial point of contact for basic compliance-related queries from the business, escalating more complex issues as needed.
• Assist in the review and assessment of compliance reports and regulatory deliverables, providing administrative and analytical support.
• Support the maintenance and updating of compliance policies and procedures by assisting with documentation and research.
• Monitor regulatory developments and assist senior team members in the initial assessment of their potential impact on the firm.
• Provide support on ad hoc compliance projects as directed by senior team members.
• Contribute to strengthening the firm’s compliance culture by adhering to best practices and supporting awareness initiatives.