Compliance Consultant (Sales Process)

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  • Salary:

    c. £500.00 per day

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  • Published:

    over 1 year ago

Our client is a leading and well known business who are currently looking to recruit a compliance professional on a contract basis for 3 months initially. In this role you will be responsible for the Sales Process assisting in the development of first line compliance MI for the oversight of Sales activity. The role consists of creating andmaintaining a Sales Policy and Process Manual to ensure the sales processes are compliant with ICOBS and CONC requirements.

Key responsibilities include:

  • To assist the business and help create and maintain a Policy and Process Manual
  • Provide the business guidance on policy and the Process Manual
  • Review Regulatory and Conduct MI against Sales policy requirements for presentation at the Product Committee
  • To assist in preparing an annual review of the sales process
  • To assist in preparing process change papers for presentation at the Product Committee
  • Maintain high standards of professionalism by ensuring the policies, procedures and associated controls, are in place to support the business in maintaining a robust and effective control framework
  • Work effectively at all levels across the business to provide support and assistance
  • Provide periodic and other relevant reports/management information on delivery work

Qualifications/Key Skills:

  • An understanding of FCA – regulatory ICOB and CONC requirements and FCA culture
  • Demonstrable experience of policy and process documentation advice
  • Ability to communicate clearly and concisely on complex regulatory sales issues at all levels, both internally and externally


Please note, should you not receive feedback 28 days, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.