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
Butler Rose is committed to equality in the workplace and is an equal opportunity employer.
Butler Rose Ltd is acting as an Employment Business in relation to this vacancy.