Compliance Policy Consultant - Wealth Management

Willow Resourcing Limited; Birmingham; Hybrid; GBP 80,000 - 100,000; Full time

Job summary

An established industry player is seeking a Compliance Specialist to enhance regulatory policies and support Financial Advisers in delivering exceptional client advice. This full-time role offers flexibility, allowing you to work primarily from home with minimal office presence. You will be instrumental in ensuring that the systems used by Advisers are effective and compliant, while also conducting annual reviews of product providers to guarantee fair value for clients. If you have a strong background in compliance within wealth management and a passion for regulatory excellence, this opportunity is perfect for you.

Qualifications

• Qualified to Diploma Level 4 with Compliance experience in wealth management.
• Strong knowledge of investment products and associated regulations.

Responsibilities

• Develop regulatory policies and guidelines for Financial Advisers.
• Perform annual reviews of product providers in line with FCA PROD regulations.

Skills

Compliance experience

Knowledge of investment products

Estate Planning

Education

Diploma Level 4

Job description

Location: Birmingham (Hybrid – only 1 day per week in the office)

Are you looking for more flexibility?

Flexibility is what this opportunity is all about. You’ll spend 80% of your time working from home, with only 4 days per month in the office. You can go in once a week, or you can group your monthly office days into one block, or anything in between.

It’s a full-time role but several members of the team work condensed hours if that’s what you’d prefer, working 5 days condensed into 4. The choice is yours.

You’ll be responsible for developing regulatory policies, guidelines and processes that the Financial Advisers use to engage clients and complete the advice process. You’ll also work with internal developers and external suppliers to ensure the systems the Advisers use are robust and effective to support advice policy and deliver the advice process efficiently and compliantly.

In addition, you’ll perform annual reviews of product providers in line with FCA PROD regulations to ensure the providers are delivering good customer outcomes and fair value for money for clients.

You’ll be qualified to Diploma Level 4 as a minimum and have demonstrable Compliance experience within a wealth management environment, with a particularly strong working knowledge of investment products and their associated regulation. Strong Estate Planning experience would be advantageous.

Interested?

Click apply.