Senior Compliance Advisory Officer

Eames Consulting are currently supporting an established Wealth Manager looking to appoint a Senior Compliance Advisory Officer into their London office

Responsibilities:

• Deliver regulatory advice to the business and act as a key subject matter expert on compliance policy.
• Maintain and oversee the firm’s compliance policy framework.
• Lead regulatory horizon scanning activities and identify forthcoming regulatory developments.
• Provide regular regulatory updates and impact assessments to the Director of Regulation.
• Build strong relationships with internal and external stakeholders to support and promote a strong compliance culture.

Requirements:

• Holds the CISI Level 3 Investment Operations Certificate (IOC) or equivalent.
• Holds, or is prepared to undertake, the CISI Level 6 Compliance Diploma (or equivalent compliance qualification) within two years of joining.
• Minimum of three years’ compliance experience gained within investment management, stockbroking, or broader financial services environments.

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