Compliance Officer - Investments

  • Location

    London, England

  • Sector:

    Banking & Financial Services

  • Job type:


  • Salary:

    £65000 - £80000 per annum + Benefits and Bonus

  • Contact:

    Claire Smith

  • Contact email:

  • Job ref:


  • Published:

    9 months ago

  • Expiry date:


  • Startdate:


  • Client:


  • Consultant:


My client is a leading Investments firm based in London.

We are seeking a compliance professional responsible for providing support to the entire UK business and associated legal entities. The role holder will support delivery of a programme of regulatory and compliance advice and assurance work. The individual will specialize in supporting the Investments segment of my clients Wealth business, including investment consulting, investment management/delegated solutions and products and research offerings, and will also be responsible for supporting all business lines as needed. The individual will support the compliance response to any major incident, including (but not limited to) significant regulatory breaches.

Together with the Compliance Leader and CRCO the individual will liaise with the leadership in the UK to promote best practice, provide relevant training to colleagues on investments compliance related requirements and support the monitoring of compliance with these requirements.

My client is ideally seeking an experienced compliance officer, with employee benefits or investments consulting experience (discretionary investment management and investment funds). Experience operating in a compliance management framework within the UK would be valuable. This is an important advisory position with excellent exposure to the business.

If you feel that you have the relevant compliance advisory, employee benefits or investment consulting experience please apply.

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