Investments Compliance Consultant

Investments Compliance Consultant

London | Hybrid Working

£31,000 – £40,000+ plus Bonus plus Benefits

An excellent opportunity for a compliance professional with 2+ years’ experience within an FCA-regulated investments business to join a growing consultancy. You’ll gain exposure to a wide range of investment firms, regulatory topics and client projects, developing broad compliance expertise whilst working directly with clients.

Key Responsibilities

• Deliver compliance support to FCA-regulated investment firms
• Assist with Compliance Monitoring Programmes (CMP)
• Review and draft compliance policies and procedures
• Support FCA applications and regulatory change projects
• Review financial promotions
• Prepare regulatory reports, MI and governance documentation
• Conduct regulatory research and horizon scanning
• Participate in client meetings and advisory projects

Technical Requirements

• 2+ years’ compliance experience within an FCA-regulated investment business
• Knowledge of MiFID and/or AIFMD regulatory frameworks
• Experience supporting compliance monitoring activities
• Exposure to financial promotions requirements (desirable)
• Understanding of FCA regulatory obligations and governance requirements

What’s on Offer

• £31,000 – £40,000+ base salary
• Annual bonus
• Hybrid working
• Broad exposure across multiple investment firms
• Client-facing responsibilities
• Fast-track development into a senior compliance consultant
• Clear progression within a high-growth business

If this sounds like you please apply here.

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