Compliance Executive – Retail Investment Products

Compliance Executive – Retail Investment Products



Leading Investment Wrap Provider, based City of London



£40,000 - £50,000 + Package



This is an excellent opportunity for an experienced Compliance Assistant to join a leading Investment Wrap Provider based in the City of London. Working specifically with the Head of Compliance on PEP, ISA, Unit Trust, OEIC’s and Pensions products, you will be responsible for a wide range of duties, including undertaking regulatory investigations and providing regulatory guidance to internal and external customers. You will also review all company publications and assist with compliance monitoring programmes.



To be successful in this role, you should have had at least 4 years experience in a similar role. Experience of PEP, ISA & Pensions products is important as is previous exposure to the financial advisory market. You should also be either FPC (or equivalent) qualified or working towards full qualification. Experience of investigating and handling regulatory complaints in accordance with FSA rules and regulations is also very important. Above all, you should have a desire to further your career in this market as well as strong communication skills.



For more information, please contact Edward Groves