Compliance Contractor

Broadgate; Greater London; On-site; GBP 60,000 - 80,000; Full time

Job summary

A financial advisory firm in Greater London is seeking a Compliance Manager to support regulatory compliance efforts. This role involves providing advisory support to business teams, managing breaches, and producing compliance reports. The ideal candidate will have over 10 years of compliance experience, particularly in wealth management. Responsibilities include overseeing compliance policies, handling Data Subject Access Requests, and promoting a risk and compliance culture within the organization. Competitive compensation is offered.

Qualifications

• Approximately 10+ years’ experience in compliance, ideally in a wealth management or financial advisory environment.
• Strong understanding of FCA requirements, particularly COBS, SYSC and DISP.
• Experience applying best practice compliance frameworks within regulated financial services.

Responsibilities

• Provide compliance advisory support to financial planning and investment management teams.
• Support the creation and implementation of compliance policies and training.
• Review and approve financial promotions and marketing materials.
• Assist in complaint investigations and produce oversight MI.

Skills

Strong communication skills

Attention to detail

Pragmatic approach

Proficiency in Microsoft Office Suite

Job description

Role Summary

This role supports the Head of Compliance / MLRO in delivering all aspects of regulatory compliance across the firm. The position provides day-to-day advisory support to business and operational teams, ensuring regulatory requirements are understood, met, and embedded throughout the organisation.

Key Responsibilities (Summary)

• Provide compliance advisory support to financial planning and investment management teams.
• Support the creation, maintenance and implementation of compliance policies and staff training.
• Contribute to business acquisition projects by ensuring regulatory requirements are incorporated.
• Assist in managing incidents, breaches and risk events, including maintaining central records, undertaking root cause analysis and recommending control improvements.
• Review and approve financial promotions and marketing materials.
• Identify and assess potential conflicts of interest and maintain the conflicts register.
• Support the handling of Data Subject Access Requests (DSARs) in line with internal processes.
• Prepare and submit regulatory reports, returns, notifications and applications.
• Assist in complaint investigations, including producing oversight MI and identifying themes.
• Produce compliance MI for senior management, boards and committees.
• Provide support or deputise for the Head of Compliance on ad-hoc projects.
• Promote a strong risk and compliance culture within the organisation.
• Manage FCA Directory / SMCR-related submissions.
• Support professional indemnity insurance (PII) renewals and associated information requests.

Person Specification (Summary)

• Approximately 10+ years’ experience in compliance, ideally in a wealth management or financial advisory environment.
• Strong understanding of FCA requirements, particularly COBS, SYSC and DISP.
• Experience applying best practice compliance frameworks within regulated financial services.
• Ability to analyse and resolve complex compliance issues and propose practical, compliant solutions.

Experience & Knowledge

• Strong communication skills, with the ability to work constructively with stakeholders at all levels.
• High attention to detail and accuracy.
• Confident, pragmatic and able to challenge where necessary.
• Proficient in Microsoft Word, Outlook, PowerPoint and Excel.
• Strong written and verbal communication abilities.

Skills & Attributes

• Strong communication skills, with the ability to work constructively with stakeholders at all levels.
• High attention to detail and accuracy.
• Confident, pragmatic and able to challenge where necessary.
• Proficient in Microsoft Word, Outlook, PowerPoint and Excel.
• Strong written and verbal communication abilities.