Senior Clients Compliance Analyst

What you’ll do:

• Act as a compliance partner to the retail investment platform, advising on propositions, marketing, operations and strategic business change.
• Interpret and apply FCA requirements, the FCA Handbook and relevant HMRC legislation covering pensions and ISAs.
• Provide regulatory guidance across mutual funds, ETFs and distribution channels including ISAs, JISAs, SIPPs and General Accounts.
• Partner with first line teams to assess and mitigate compliance risks, strengthen frameworks and support incident management.
• Assess complex regulatory matters and provide clear, practical advice, particularly in relation to Consumer Duty and business growth.
• Represent Compliance at internal committees and forums, working with senior stakeholders, Legal and the wider Office of the General Counsel to support consistent outcomes.

What you bring

• Experience in compliance business partnering within a retail investment platform or similarly regulated environment.
• Has worked in investments or wealth management, with a strong understanding of investment products and distribution channels.
• Strong knowledge of UK financial services regulation, FCA requirements and the FCA Handbook, ideally including SIPP operators and HMRC pension/ISA legislation.
• Experience advising on regulatory change, business transformation, operational arrangements and Consumer Duty.
• Proven ability to assess compliance risks, work with first line teams and translate complex requirements into clear, practical advice.
• Confident communicator with strong analytical and problem-solving skills, able to work independently and engage effectively with senior stakeholders.

What’s Next

If you are ready to take the next step, apply now! Successful applicants will be contacted directly by a recruiter to discuss the role more.

We are committed to creating an inclusive recruitment experience. If you require support or adjustments to the recruitment process, our Adjustment Concierge Service is here to help. Please feel free to contact us at [email protected] to discuss how we can support you.

This position is being recruited on behalf of our client through our Outsourcing service line. Resource Solutions Limited, trading as Robert Walters, acts as an employment business and agency, partnering with top organizations to help them find the best talent. We welcome applications from all candidates and are committed to providing equal opportunities.