Senior Compliance Lead – Retail Investments & Consumer Duty

Compliance Professionals; City Of London; On-site; GBP 80,000 - 100,000; Full time

Job summary

A financial services broker in the City of London is seeking a seasoned compliance professional. The role involves advising on product compliance, managing regulatory obligations, and providing training across teams. Candidates should possess over 7 years of experience in compliance with strong knowledge of FCA regulations, especially in retail investments. Excellent communication skills and strategic thinking are essential.

Qualifications

• 7+ years of experience in a senior generalist compliance role.
• Solid background in financial services and knowledge of leveraged trading.
• Familiarity with FCA regulations, particularly the Consumer Duty.

Responsibilities

• Provide advice on new product introductions and existing product adaptations.
• Deliver ongoing training to stakeholders as required.
• Assist in monitoring compliance activities and managing complex complaints.

Skills

CFDS and Spreadbetting knowledge

Stakeholder management

Regulatory compliance understanding

Strategic thinking

Communication skills

Job description

A financial services broker in the City of London is seeking a seasoned compliance professional. The role involves advising on product compliance, managing regulatory obligations, and providing training across teams. Candidates should possess over 7 years of experience in compliance with strong knowledge of FCA regulations, especially in retail investments. Excellent communication skills and strategic thinking are essential.