Compliance Business Partner

Posted 9 days 13 hours ago by IDEX Consulting

Permanent
Not Specified
Other
London, United Kingdom
Job Description

Company Overview:
Join a leading Wealth Management firm that provides tailored investment solutions to private clients, trusts, and institutional investors. With a strong commitment to regulatory excellence and client-focused investment strategies, the firm operates within the MiFID framework, ensuring compliance with evolving financial regulations. As part of a high-caliber compliance team, you'll play a key role in shaping the firm's compliance culture and providing strategic regulatory guidance.


About the Role:
We are seeking an experienced Compliance Business Partner to support the Head of Compliance in overseeing the firm's regulatory obligations. This role offers the opportunity to work closely with key stakeholders, providing expert compliance advice, helping embed regulatory frameworks, and ensuring adherence to MiFID and wider investment regulations.


Key Responsibilities:

  1. Act as a trusted compliance advisor to the business, providing expert guidance on MiFID, CASS, SMCR, Conduct Risk, and ESG considerations.
  2. Support the implementation and enhancement of the firm's compliance framework, ensuring it remains aligned with evolving UK and EU regulations.
  3. Conduct horizon scanning for regulatory changes, assess their impact, and support implementation.
  4. Assist in regulatory reporting, policy development, and compliance monitoring activities.
  5. Work closely with investment teams to ensure advice, disclosures, and processes meet regulatory requirements.
  6. Support compliance training initiatives to foster a strong culture of regulatory awareness.
  7. Engage with the FCA and other regulatory bodies, assisting with responses to regulatory queries and thematic reviews.
  8. Contribute to internal audits, risk assessments, and governance reporting.


What We're Looking For:

  1. Strong experience in compliance within wealth management, investment management, or financial services.
  2. Deep understanding of MiFID regulations, conduct risk, and investment suitability.
  3. Ability to interpret and apply FCA regulations within an investment environment.
  4. Strong stakeholder management skills, with the ability to influence at all levels.
  5. Excellent written and verbal communication skills.
  6. Proactive and solutions-oriented mindset.