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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:
- Act as a trusted compliance advisor to the business, providing expert guidance on MiFID, CASS, SMCR, Conduct Risk, and ESG considerations.
- Support the implementation and enhancement of the firm's compliance framework, ensuring it remains aligned with evolving UK and EU regulations.
- Conduct horizon scanning for regulatory changes, assess their impact, and support implementation.
- Assist in regulatory reporting, policy development, and compliance monitoring activities.
- Work closely with investment teams to ensure advice, disclosures, and processes meet regulatory requirements.
- Support compliance training initiatives to foster a strong culture of regulatory awareness.
- Engage with the FCA and other regulatory bodies, assisting with responses to regulatory queries and thematic reviews.
- Contribute to internal audits, risk assessments, and governance reporting.
What We're Looking For:
- Strong experience in compliance within wealth management, investment management, or financial services.
- Deep understanding of MiFID regulations, conduct risk, and investment suitability.
- Ability to interpret and apply FCA regulations within an investment environment.
- Strong stakeholder management skills, with the ability to influence at all levels.
- Excellent written and verbal communication skills.
- Proactive and solutions-oriented mindset.
Visit the IDEX Consulting Ltd website for further opportunities. Please note that the information supplied may be retained for up to 10 years for use in connection with future vacancies. For full information on how we use your data, please visit the IDEX Consulting website and view our Privacy Policy.
Our Diversity, Equity and Inclusion Mission
At IDEX, we strive for an inclusion-first company culture where everyone is treated fairly and can bring their authentic selves to work. We recognise and acknowledge that diverse representation at every level of our business requires continuous and measurable effort. We are committed to driving conscious inclusion across our business and creating equitable pathways.
