Overview
We are seeking an Interim Compliance Consultant to support a high-profile, fast-paced project focused on launching a new private banking proposition within a leading global fintech. The successful candidate will work closely with compliance and legal teams to ensure regulatory oversight and readiness, addressing compliance risks and conducting essential assessments to facilitate a successful launch.
Responsibilities
- Deliver specialist private banking regulatory oversight to support the launch of the new proposition.
- Conduct regulatory readiness and gap assessments to establish appropriate controls and governance.
- Review customer journeys and products to identify and remediate compliance risks.
- Provide oversight on front office conduct, complaints, and QA of client interactions.
- Support SMCR requirements, including fit-and-proper assessments for private bankers.
- Offer regulatory guidance for cross-border expansion into new international markets.
Requirements
- Minimum of 3 years' experience in private banking or wealth management compliance.
- Experience with front office oversight including conduct, complaints, and QA of client interactions.
- Strong knowledge of SMCR, Certification Regime, and fit-and-proper assessments.
- Familiarity with conflicts of interest and market abuse practices.
- Understanding of core private banking products, including discretionary portfolio management and execution-only trading.
- Experience in regulatory readiness assessments or cross-border expansion is advantageous.
- Immediate availability or short notice required.