FCA Compliance Review for Investment Advisory Firm

Posted 7 days ago23 days remaining

Description

I run a small independent financial advisory practice in the Midlands, and I need someone to review our current compliance framework against FCA regulations. We've grown over the past two years and I'm concerned we may have gaps in our documentation, client agreements, and suitability procedures. I need a practical assessment of where we stand and recommendations for any changes needed to stay compliant. This isn't urgent but I'd like it done within the next 4 weeks.

Requirements

Budget

£1,200 - £2,000

Urgency

Standard

Client location

United Kingdom

Jurisdiction

England & Wales

Experience

2+ years

Location

Reading

How bidding on legal jobs works

A simple, transparent process for lawyers and clients on our global legal marketplace.

STEP 1

Review the brief

Read the client's requirements, budget, and timeline. Everything you need to scope the work is here.

STEP 2

Submit your proposal

Send a tailored proposal with your own price and approach. The client compares lawyers side by side.

STEP 3

Win and get paid

If the client picks you, funds are secured in escrow and released as you deliver the work.

Interested in this legal job?

Join as a lawyer to submit a proposal and win this work. Free to join, no commission on your legal fees.

Join as a lawyer to bid

Need legal help?

Post your own legal job for free and get proposals from verified lawyers worldwide.

Post a legal job for free

For lawyers

Win new legal work on a global marketplace

Clients post legal jobs every day across every practice area and jurisdiction. Browse the board, send proposals with your own pricing, and keep 100% of your legal fees. Free to join, verified profile, secure escrow payments.

Join as a lawyer Browse all legal jobs

Related legal jobs

Financial Services

FCA Compliance Review for Investment Platform

£1,500 - £3,500 United Kingdom