FincSelect
Senior Regulatory Compliance Officer - Investor Protection
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Senior Compliance Officer – Investor Protection
London | 4 days per week in the office, 1 from home
Private Banking / Wealth Management
I’m working with a leading private bank looking to hire a Senior Compliance Officer into its Investor Protection Compliance team.
This is a senior 2nd line advisory role, working closely with the business on a broad range of conduct and investor protection matters. You’ll act as a trusted Compliance partner, providing practical regulatory advice while also being confident enough to challenge the business when needed.
The role will cover areas including:
- Suitability & appropriateness
- Consumer Duty & Treating Customers Fairly
- Product governance
- Financial promotions & client communications
- Conflicts of interest
- Complaints
- Best execution
- Client categorisation / opt-ups
- Regulatory change
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You’ll also advise on new products and business initiatives, interpret regulatory developments and help translate new requirements into practical changes across the business.
A key part of the role is understanding the regulatory risks associated with investment products, including more complex products such as hedge funds, private markets and collective investment funds.
What they’re looking for:
- Strong UK regulatory knowledge, particularly MiFID II, Consumer Duty and the FCA Handbook
- Compliance experience within private banking or wealth management
- Good understanding of investment products and associated conduct risks
- Experience providing 2nd line regulatory advice and challenge
- Ability to interpret regulation and identify potential risks or control gaps
- Strong stakeholder management skills and confidence working with senior stakeholders
- Proactive, commercial and solutions-focused approach
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Experience within asset management and/or banking/credit would also be useful, although isn't essential.
This would suit an experienced Compliance professional who enjoys being close to the business and wants a broad advisory role covering both day-to-day regulatory matters and larger regulatory/change projects.
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