Compliance Advisory Expert

Roles & Responsibilities

• Help deliver the yearly compliance Advisory plan by completing assigned tasks accurately and on time.

• Identify gaps or weaknesses in controls, determine root causes, and suggest practical solutions to reduce risks.

• Collaborate with the Head of Compliance Advisory to agree action plans with the business and follow up to ensure risks are addressed and closed. Escalate any concerns where necessary.

• Stay informed about UK regulatory changes, particularly those from the FCA, and assess their impact on the companys risk profile and operations.

• The role is focused on providing outsourced compliance Advisory services to UK-regulated firms, ensuring all activities meet the standards set by the FCA and other relevant UK regulatory bodies.

• Maintain up-to-date logs and ensure the Advisory programme reflects accurate risk ratings and regulatory priorities.

• Work independently while building strong relationships across teams.

• Promote a positive compliance culture within Client and Wipro, supporting teams in managing risks effectively.

• Maintain an objective and impartial approach when reviewing internal practices, while fostering

constructive relationships.

• The role requires accuracy, integrity, independence, and the ability to work effectively within a small team. We value a customer-focused culture and expect alignment with our core values.

Essential Skills

• Experience in compliance Advisory, ideally within investment or wealth management firms.

• Good understanding of FCA rules and their practical application in business settings.

• Familiarity with CASS / COBS / conduct rules and practical applicability under life and pension service provider.

• Strong analytical skills able to interpret FCA regulations, identify risks, and propose effective solutions.

Desirable Skills

• Ability to interpret FCA rules and apply them in real-world scenarios.

• Strong communication skills to explain complex regulations clearly.

• Proactive and self-motivated, with the ability to work independently and collaboratively.

Application of Individual Conduct Rules:

Standard of conduct is reasonable under all circumstances relating to

•             Must act with integrity
•             Must act with due skill, care and diligence
•             Must be open and cooperative with the FCA and other regulators
•             Must pay due regard to the interests of customers and treat them fairly
•             Must observe proper standards of market conduct

Preferred candidate profile