Compliance Contractor

Role Summary

This role supports the Head of Compliance / MLRO in delivering all aspects of regulatory compliance across the firm. The position provides day-to-day advisory support to business and operational teams, ensuring regulatory requirements are understood, met, and embedded throughout the organisation.

Key Responsibilities (Summary)

• Provide compliance advisory support to financial planning and investment management teams.
• Support the creation, maintenance and implementation of compliance policies and staff training.
• Contribute to business acquisition projects by ensuring regulatory requirements are incorporated.
• Assist in managing incidents, breaches and risk events, including maintaining central records, undertaking root cause analysis and recommending control improvements.
• Review and approve financial promotions and marketing materials.
• Identify and assess potential conflicts of interest and maintain the conflicts register.
• Support the handling of Data Subject Access Requests (DSARs) in line with internal processes.
• Prepare and submit regulatory reports, returns, notifications and applications.
• Assist in complaint investigations, including producing oversight MI and identifying themes.
• Produce compliance MI for senior management, boards and committees.
• Provide support or deputise for the Head of Compliance on ad-hoc projects.
• Promote a strong risk and compliance culture within the organisation.
• Manage FCA Directory / SM&CR-related submissions.
• Support professional indemnity insurance (PII) renewals and associated information requests.

Person Specification (Summary)

Experience & Knowledge

• Approximately 10+ years’ experience in compliance, ideally in a wealth management or financial advisory environment.
• Strong understanding of FCA requirements, particularly COBS, SYSC and DISP.
• Experience applying best practice compliance frameworks within regulated financial services.
• Ability to analyse and resolve complex compliance issues and propose practical, compliant solutions.

Skills & Attributes

• Strong communication skills, with the ability to work constructively with stakeholders at all levels.
• High attention to detail and accuracy.
• Confident, pragmatic and able to challenge where necessary.
• Proficient in Microsoft Word, Outlook, PowerPoint and Excel.
• Strong written and verbal communication abilities.