THE ROLE
You’ll take ownership of developing and implementing the investment compliance framework, providing independent oversight and constructive challenge across:
Wealth & investment governance
MPS oversight and portfolio controls
Compliance monitoring and assurance
Product governance & Consumer Duty
Client outcomes and suitability
Regulatory risk, issues and escalation
Policies, procedures and controls
MI, governance reporting and senior stakeholder engagement
THE PERSON
We’re looking for an experienced investment compliance professional with:
Strong FCA / COBS / MiFID II / Consumer Duty knowledge
Experience within wealth management, investment or MPS environments
Experience building or operating compliance monitoring / assurance frameworks
Strong understanding of investment governance and regulatory risk
Excellent analytical, communication and stakeholder management skills
Confidence providing effective second-line challenge
A relevant Level 4 qualification is required, with a recognised investment qualification highly desirable.
THE OPPORTUNITY
A chance to build something, make it your own and take it from design through to implementation and embedding within a growing wealth and investment business.
12-month FTC | Potential for permanent
Hybrid | South / South East
Exclusive appointment through Phoenix Talent Partners