Senior Compliance Consultants (Wealth & Investments)

Butler Rose- Compliance, Risk & Financial Crime; Greater London; Remote; GBP 129,000 - 185,000; Part time

Job summary

Butler Rose seeks Senior Compliance Consultants to support a client on regulatory due diligence projects in wealth, pensions, and investments. Roles are remote and contract-based, with short notice start dates.

Candidates should bring senior compliance experience and exposure to SMF16 where possible. Responsibilities include reviewing governance, policies, MI, and processes, identifying gaps, risks, and providing clear written/verbal feedback to drive remediation at pace.

Responsibilities

• Reviewing existing compliance documentation (SMCR, governance, risk registers, policies, MI, sales & advice processes etc)
• Identifying gaps, risks and areas requiring remediation or escalation
• Providing clear, pragmatic written and verbal feedback

Job description

Senior Compliance Consultants (Wealth, Pensions, & Investments)

Location: Remote

Contract: up to 3 months

We’re supporting a client with multiple hires for contract roles for senior compliance professionals to support a regulatory due diligence projects within the wealth / investments / pensions space. These are would start at short notice and are fully remote.

This is document-led, analytical work requiring strong regulatory judgement and the ability to risk assess existing frameworks, policies, processes, controls and governance at pace.

The work will involve:

• Reviewing existing compliance documentation (SMCR, governance, risk registers, policies, MI, sales & advice processes etc)
• Identifying gaps, risks and areas requiring remediation or escalation
• Providing clear, pragmatic written and verbal feedback

We’re keen to speak to contractors with:

• Senior compliance experience / previous SMF16 experience (desirable not essential) from wealth management, IFAs, investment platforms or SIPP / pensions