Compliance Advisor

Eames Consulting are currently supporting a leading Wealth Manager/Platform looking to appoint a Compliance Advisor on a 12-14 month FTC.

Responsibilities:

• Provide regulatory advice and day-to-day compliance support across the business
• Maintain subject matter expertise in key regulatory areas
• Support delivery of regulatory change, control enhancements, and remediation
• Monitor regulatory developments and produce impact summaries
• Contribute to consultations and policy discussions
• Assist with regulator engagement and correspondence
• Support regulatory reporting and notifications
• Coordinate SM&CR processes (SMF & Certified Persons)
• Contribute to management information on regulatory priorities

Requirements:

• Minimum of 3 years’ experience of working in financial services investment or fund
• management sectors preferably in Compliance or Regulatory roles.
• Compliance advisory at a retail investment firm or pension provider.

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