Senior Compliance Advisory Officer - Life Insurance & Pensions

Eames Consulting; City Of London; On-site; GBP 80,000 - 100,000; Full time

Job summary

A leading Wealth Manager in London seeks a Senior Compliance Advisory Officer to collaborate with the Head of Compliance, focusing on Life Insurance and Pensions. Responsibilities include providing regulatory advice, overseeing compliance policies, and leading reviews. Ideal candidates have extensive compliance experience and expertise in FCA rules, including Consumer Duty. This role offers a strategic position with significant influence within the organization.

Qualifications

• Extensive experience in Compliance Advisory roles covering retail insurance-based investment products and non-workplace pensions.
• Expert on Consumer Duty and FCA rules (e.g. COBS, PROD, CASS).

Responsibilities

• Partner with the Head of Compliance on key regulatory and conduct matters.
• Maintain a strong understanding of regulatory developments.
• Deliver high-quality regulatory advice and oversight.
• Lead the design, implementation, and governance of compliance policies.
• Oversee day-to-day conduct and regulatory risk management.
• Lead independent Compliance reviews and assessments.
• Present on key regulatory and compliance matters to management forums.

Skills

Compliance Advisory experience

Consumer Duty knowledge

Expertise in FCA rules

Job description

We are currently supporting a leading Wealth Manager looking to appoint a Senior Compliance Advisory Officer, working closely with the Head of Compliance and focusing on the Life Insurance and Pensions arm of the business.

Responsibilities

• Partner with the Head of Compliance for the regulated entity on key regulatory and conduct matters, driving collaboration and providing strategic thought leadership to senior business leaders.
• Maintain a strong and current understanding of regulatory developments and priorities, including Consumer Duty, PROD, SUP, COBS, CASS, and Fund Management requirements.
• Deliver high-quality regulatory advice, oversight, and subject matter expertise across the business.
• Lead the design, implementation, and governance of group-wide policies covering critical Compliance and Regulatory topics.
• Oversee day-to-day (BAU) conduct and regulatory risk management through rigorous review, challenge, and evidence-based assessment.
• Lead independent Compliance reviews and assessments of Conduct and Regulatory risks, contributing to insightful Board-level reporting.
• Present, as appropriate, on key regulatory and compliance matters to the Board, Executive Committee (ExCo), and other governance or management forums.

Requirements

• Extensive experience in Compliance Advisory roles covering retail insurance-based investment products and non-workplace pensions.
• Expert on Consumer Duty and FCA rules (e.g. COBS, PROD, CASS).

Eames Consulting is acting as an Employment Agency in relation to this vacancy.