Interim Conduct – Senior Compliance Consultant (Exclusive role)

  • Location


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  • Salary:

    to £600 per day

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  • Published:

    about 2 years ago

My client is a market leader in their chosen field. Since its founding, a combination of organic growth and acquisitions have played a major part in the company’s progression to its current standing in today’s market.

They are currently looking to bring in a No of interim compliance specialists to ultimately assist the Group toward understanding its regulatory obligations and to maintain high standards of professionalism by ensuring policies, procedures, controls, compliance monitoring, MI reporting and escalation processes are in place to support the group in maintaining a robust and effective compliance and conduct framework. 

They require an individual to assist senior management in identifying, assessing, mitigating, effectively managing and overseeing the compliance and conduct risks with the Group

Key responsibilities include:

  • To undertake a conduct risk assessment across all business areas.
  • To update, develop and implement the conduct risk MI dashboard
  • To update, develop and implement the regulatory rules map for the Group
  • To update, develop and implement the Groups Compliance Risk assessment.
  • To update, develop and implement Compliance MI in both the 1st and 2nd lines of defence.
  • To update, develop and implement the Compliance Manual.
  • To update, develop and implement the regulatory tracker to include regulatory risk and progress assessment.
  • To liaise with the Risk project to ensure that the Compliance policies and procedures are appropriately updated.
  • To devise and implement an outsourcing risk policy and processes.
  • To update, develop and implement the Vulnerable Customers policy.
  • To update, develop and implement a complaints handling framework to cover both FS and non-FS complaints.
  • To update, develop and implement appropriate root cause analysis and MI for governance reporting.
  • Provide adhoc operational compliance and conduct advice
  • Provide periodic and other relevant reports/management information on delivery work.


The Person 

  • Excellent understanding of FCA – Conduct regulatory requirements and FCA culture.
  • A strong and demonstrated ability to provide Conduct Risk and Compliance advice and a thorough understanding of relevant regulatory requirements.
  • Ability to communicate clearly and concisely on complex regulatory compliance issues at all levels, both internally and externally.
  • Ability to resolve conflict and deal with confrontation through tact and skill.
  • Ability to work independently, but a strong team player.
  • Proven leadership, coaching and development skills.

A strong and demonstrated ability to provide compliance advice

The contract will be for an initial 6 months and day rate will be commensurate with experience. The client is keen to get people on board as soon as possible so you will ideally be immediately or almost immediately available.

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.