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Regulatory Consultant – Compliance Advisory (remote working)

  • Location: City of London
  • Salary: £60,000 per year
  • Job Type:Permanent

Posted 14 days ago

  • Sector: Compliance
  • Contact: Kirstie Burn
  • Contact Email:
  • Contact Phone: 02036371603
  • Expiry Date: 13 February 2023
  • Job Ref: KBU/19591

​This highly experienced team of regulatory advisory specialists are looking for a new Consultant to join the firm and work with their clients on designing and implementing good compliance and governance across a number of Retail Financial Services firm, Banks and Wealth Management firms.

We are looking for an individual who has technical compliance experience for the management of conduct risk and governance. Ideally they are looking for someone who will have:

•a good understanding of the principles of risk management especially in respect of conduct and customer outcomes.

•regulatory knowledge and experience of applying FCA rules across the retail sector – ideally wealth management.

The type of projects the individual can expect to be involved with include, independent s166 assurance review projects, compliance health checks and bespoke support projects. This will include; compliance support at each stage of the retail product lifecycle; from design and distribution of financial products, pricing, marketing, and advertising, customer communications, quality of advice, sales practices, management of conflicts of interest, complaints handling, conduct of business rules and guidance, collections and arrears management, pre- and post-sale service and retail conduct risks associated with each of these stages.

This firm very much prides themselves on their proportionate approach and understanding that each regulated firm will have different needs.

Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.