Compliance Advisory Contractor

3 weeks ago


UK, UK, United Kingdom Broadgate Full time

We are looking for an Interim Compliance Advisory Professional to support an Investment Management business based in the M4 Corridor (Hybrid, maximum of 1 day per week on site).


The details of the role are as follows:-


  • Develop and maintain a comprehensive understanding of all relevant laws, regulations, and internal policies that apply to the Group.
  • Conduct compliance themed advisory reviews based on risk assessments and develop strategies to mitigate identified risks.
  • Monitor and assess the effectiveness of compliance training programs and make recommendations for improvements.
  • Support the SMCR Regime / CASS Compliance / ESG and Consumer Duty



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