Compliance Specialist (3-6 Month Contract)

Compliance Specialist (3-6 Month Contract)

Posted Today by Jameson Legal

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£650 Per day
Undetermined
Hybrid
London, UK
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Consolidation Financial Services Authority Gap Analysis Investment Management Investments Management Markets In Financial Instruments Directive

Summary: The role of Compliance Specialist involves supporting an investment management business during a 3-month post-acquisition integration project. The specialist will conduct a gap analysis of compliance policies and procedures, collaborating with senior compliance leaders to develop and implement necessary changes. This position is based in London, requiring in-office presence three days a week. The daily rate for this contract is between £600 and £650.

Key Responsibilities:

  • Conducting a comprehensive gap analysis of existing compliance frameworks across both legacy entities
  • Reviewing and comparing policies, procedures, and controls against: applicable regulatory requirements, internal standards and best practice
  • Identifying any missing or outdated policies and any key compliance risks arising from the integration
  • Policy & Procedure Review: Assess the quality, completeness, and applicability of all core compliance documentation, including Compliance manuals, Financial crime/AML frameworks etc.
  • Supporting the design of a target operating model for compliance
  • Assisting in integrating systems, controls, and governance structures
  • Ensuring alignment with regulatory expectations during the transition period
  • Producing a formal gap analysis report, including Key findings and risk ratings, Recommended remediation actions and a prioritised implementation roadmap
  • Supporting delivery of agreed remediation actions where required.

Key Skills:

  • Proven compliance/regulatory experience in buy-side compliance (asset management/investment management)
  • Strong experience in Policies & procedures review and drafting
  • Conducting gap analyses in regulated environments
  • Solid understanding of relevant regulatory frameworks (e.g. FCA rules, AIFMD, MiFID II, SMCR)
  • Ability to operate independently in a fast-moving, project-based environment
  • Ability to synthesise complex regulatory requirements into practical outputs.

Salary (Rate): £650.00 Per Day

City: London

Country: UK

Working Arrangements: hybrid

IR35 Status: undetermined

Seniority Level: undetermined

Industry: Other

Investment Management – Integration Project

Overview:

We are seeking an experienced Compliance Specialist to support an investment management business on a 3-month contract as part of a broader post-acquisition integration programme.

They are looking for someone to come in and support the two senior compliance leaders within the business to do a gap analysis on their policies and procedures and then take action by rewriting/developing the policies and procedures either through consolidation or separation, depending on the needs of the integration

This role is London-based, ideally with 3 days a week in the office. Daily rate: c.£600-650.

Key Responsibilities:

  • Conducting a comprehensive gap analysis of existing compliance frameworks across both legacy entities
  • Reviewing and comparing policies, procedures, and controls against: applicable regulatory requirements, internal standards and best practice
  • Identifying any missing or outdated policies and any key compliance risks arising from the integration
  • Policy & Procedure Review: Assess the quality, completeness, and applicability of all core compliance documentation, including Compliance manuals, Financial crime/AML frameworks etc.
  • Supporting the design of a target operating model for compliance
  • Assisting in integrating systems, controls, and governance structures
  • Ensuring alignment with regulatory expectations during the transition period
  • Producing a formal gap analysis report, including Key findings and risk ratings, Recommended remediation actions and a prioritised implementation roadmap
  • Supporting delivery of agreed remediation actions where required.

Key Requirements:

  • Proven compliance/regulatory experience in buy-side compliance (asset management/investment management)
  • Strong experience in Policies & procedures review and drafting
  • Conducting gap analyses in regulated environments
  • Solid understanding of relevant regulatory frameworks (e.g. FCA rules, AIFMD, MiFID II, SMCR)
  • Ability to operate independently in a fast-moving, project-based environment
  • Ability to synthesise complex regulatory requirements into practical outputs.
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