Our client, a leader in the wealth management space, is looking to onboard a Senior Compliance Advisory professional on a short-term contract. This role will provide independent advice and oversight on FCA conduct regulations while partnering with senior stakeholders to shape compliance strategy during a critical phase of regulatory focus.
Responsibilities
* Provide thought leadership on complex and strategic regulatory matters.
* Partner with senior leaders, including Chief Compliance Officers and Group Risk Officers, to establish “in-house views” on contentious compliance issues.
* Deliver expert advice on regulatory priorities, including Consumer Duty, COBS, CASS, and Fund Management.
* Lead the development and oversight of group compliance and regulatory policies.
* Support governance and risk management processes across the organisation.
* Offer independent compliance oversight while enabling delivery of business objectives.
* Potentially mentor or line manage junior compliance professionals.
Ideal Candidate
* Extensive Wealth management, Asset Management, or Life & Pensions Insurance compliance experience.
* Strong knowledge of the UK regulatory regime, with deep expertise in Consumer Duty and PROD.
* Specialist experience in at least one of the following areas:
* Advising/distributing investment & insurance products (COBS, ICOBS, MCOBS).
* Oversight of Appointed Representatives (SUP, COBS, MCOBS).
* Manufacturing of insurance-based investment products, non-workplace pensions, execution-only services.
* Familiarity with CASS rules (preferred).
* Strong stakeholder management and influencing skills at senior level.
* Pragmatic and solutions-driven approach, balancing regulatory requirements with business objectives.
* Ability to provide credible thought leadership and shape compliance strategy.
Role Details:
* Type: Contract
* Location: London Hybrid