Description

We are currently supporting a leading Wealth Manager looking to appoint a Senior Compliance Advisory Officer, working closely with the Head of Compliance and focusing on the Life Insurance and Pensions arm of the business.

Responsibilities:

• Partner with the Head of Compliance for the regulated entity on key regulatory and conduct matters, driving collaboration and providing strategic thought leadership to senior business leaders.
• Maintain a strong and current understanding of regulatory developments and priorities, including Consumer Duty, PROD, SUP, COBS, CASS, and Fund Management requirements.
• Deliver high-quality regulatory advice, oversight, and subject matter expertise across the business.
• Lead the design, implementation, and governance of group-wide policies covering critical Compliance and Regulatory topics.
• Oversee day-to-day (BAU) conduct and regulatory risk management through rigorous review, challenge, and evidence-based assessment.
• Lead independent Compliance reviews and assessments of Conduct and Regulatory risks, contributing to insightful Board-level reporting.
• Present, as appropriate, on key regulatory and compliance matters to the Board, Executive Committee (ExCo), and other governance or management forums.

Requirements:

• Extensive experience in Compliance Advisory roles covering retail insurance-based investment products and non-workplace pensions.
• Expert on Consumer Duty and FCA rules (e.g. COBS, PROD, CASS).

Eames Consulting is acting as an Employment Agency in relation to this vacancy.