Compliance Advisory Associate; FTC

Rev & Regs are recruiting for an experienced 'Compliance Advisory Associate' on behalf of a leading Wealth Management business in London. This is a 12 month FTC role initially.

• Build and maintain strong working relationships across the business to promote a positive compliance culture.
• Provide advice and guidance to business areas on regulatory requirements, internal compliance policies, and procedures.
• Assist in the implementation of compliance policies, internal controls, and procedures, including developing and delivering compliance training to employees.
• Support compliance projects by collaborating with cross-functional teams and leading specific work streams where required.
• Produce management information and reporting for governance committees, senior management, and the Board.
• Assist management in ensuring the business operates in line with FCA regulatory requirements, the Conduct Risk framework, Consumer Duty, and industry best practice.
• Provide support to specialist compliance functions, including Monitoring & Testing, Financial Crime, and Regulatory Change initiatives, as required.
• Maintain accurate compliance records and documentation in line with regulatory expectations and internal standards.
• Undertake ad hoc compliance reviews, projects, and other responsibilities as required.

• Relevant experience in a UK Wealth Management, Investment Management or Private Banking environment.
• Knowledge of UK Regulatory environment and FCA handbook.
• Good product and investment management services knowledge, including investment suitability.
• Professional qualifications such as CISI Diploma in Investment Compliance would be desirable.
• Working knowledge of UK regulations including COBS, TC, COCON, SYSC, SUP, PROD, DTR, DISP, Consumer Duty and Conduct Risk.

Location:
Hybrid (3 days per week in London office)