Compliance Advisory - Investment Platform - London

Job Title: Compliance Advisory - Investment Platform - London
Contract Type: Permanent
Location: London, England
Salary: £50000 - £65000 per annum
Reference: BBBH15949_1501090670
Contact Name: Emily Marmoy-Haynes
Contact Email:
Job Published: July 26, 2017 18:37

Job Description


This Investment Platform was an award winning start up that has undergone major growth and investment over the last 15+ years. Now, they are a well-established, market leader and the Compliance team is very visible with a strong backing from senior leadership. With a more relaxed culture, collaborative team and great work life balance, this is a great opportunity to explore the next step in your career.


This position as Compliance Adviser is a pivotal role where you will support the Compliance Managers to deliver high quality and accurate regulatory advice and guidance in accordance with the standards expected by the Group as well as with the delivery of compliance initiatives, regulatory development analysis, regulatory engagement, regulatory reporting and regulatory projects.

Primary responsibilities will include:

  • Deliver relevant regulatory projects and provide advice and support on other regulatory projects to teams across Compliance
  • Advise on and support thematic and data requests and complaints handling processes
  • Support senior management briefings and regulator engagement and visits as needed
  • Advise on applicable rules and regulations and provide guidance on complex regulatory queries
  • Contribute to internal and external consultations (including responses), discussions and policy debates


  • Strong background in Regulatory Compliance advisory with approx. 8 years' Compliance experience working in financial services investment, advisory or insurance sectors
  • In-depth practical knowledge and understanding of, and the ability to apply, FCA and PRA rules and guidance particularly those relating to COBS, SYSC, TCF and Conduct Risk
  • Educated to Degree Level
  • Practical knowledge and understanding of the UK regulatory environment as it relates to the financial services industry
  • Proven track record of successfully delivering a range of compliance projects and high quality and effective compliance advice
  • Experience working at a UK regulator or fund/pension provider would be beneficial

If you feel you have the relevant experience for this newly created opportunity then please apply to this advert and send your CV to Emily Marmoy-Haynes at Twenty Recruitment.

Twenty Recruitment's Compliance function are a team of specialist consultants covering Financial Crime Compliance and Regulatory Compliance mandates, both permanent and temporary, across Financial Services, Technology and Energy.