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Regulatory Compliance Partner

2 months ago

London, Greater London, United Kingdom Lutine Bell Full time

Lutine Bell is currently assisting a prominent Wealth Management firm in their search for a Regulatory Compliance Partner.

Key Responsibilities:

  • Assist the Head of Advisory Compliance in managing regulatory obligations and business initiatives.
  • Collaborate effectively with the Advisory team, contributing to various projects, offering support to colleagues, and actively sharing insights to enhance team performance.
  • Engage with the organization to ensure adherence to regulatory standards.
  • Serve as a reliable advisor and primary contact for regulatory or governance inquiries, providing guidance and direction to the organization.
  • Participate in regular business and governance meetings, delivering Compliance updates on regulatory changes, risks, and pertinent topics.
  • Offer Compliance advice and challenge to team members regarding regulatory matters and risks associated with their operations, including the creation and launch of new business models, products, and processes.
  • Encourage open communication between Compliance and the organization, keeping the team informed about ongoing Compliance initiatives and projects.
  • Stay informed about regulatory changes and assist the organization in evaluating impacts, providing advice on challenges and proposed implementations.

Qualifications:

  • Experience in Compliance within the Investment sector, either with an investment advisory/consulting firm or a wealth management organization.
  • Strong understanding of investment products, particularly collective investment vehicles.
  • Demonstrated ability to cultivate strong and productive relationships with business leaders.
  • Comprehensive knowledge of the FCA Handbook – Principles, Rules, and Guidelines.