Senior Compliance Lead – Wealth & Private Banking

Compliance Professionals; Greater London; On-site; GBP 90,000 - 120,000; Full time

Job summary

Compliance Professionals is seeking a Senior Compliance Officer with extensive wealth management and private banking experience in London. You will monitor regulatory developments, develop policies, and provide timely advisory support to stakeholders across the business.

The role emphasizes consumer duty adherence, risk assessment, and collaboration with business units to ensure robust controls and strong customer outcomes.

Qualifications

• Strong knowledge of UK financial regulations including MiFID II, Consumer Duty and FCA rulebook.
• Strong understanding of high-risk and complex investment products.
• Proven experience in Compliance within wealth management or private banking.

Responsibilities

• Keep abreast of regulatory developments and help develop and implement policies and procedures.
• Analysis of regulatory developments.
• Contribute to compliance reporting.
• Improve processes to meet consumer duty principles and ensure good customer outcomes.
• Provide stakeholders with sound and timely advice.
• Evaluate and advise on proposed products/services and business initiatives.
• Develop, draft and support training.

Skills

MiFID II

Consumer Duty

FCA rulebook

Wealth management

Private banking

Regulatory analysis

Job description

Compliance Professionals is seeking a Senior Compliance Officer with extensive wealth management and private banking experience in London. You will monitor regulatory developments, develop policies, and provide timely advisory support to stakeholders across the business.

The role emphasizes consumer duty adherence, risk assessment, and collaboration with business units to ensure robust controls and strong customer outcomes.