Interim Financial Promotion – Compliance Consultant (Exclusive role)

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  • Salary:

    to £450 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 the group towards understanding its regulatory obligations with regard to the FCA Financial promotion activities it performs.


Key responsibilities include:

  • To update and re-implement the Financial Promotion Control Standards.
  • Responsible for devising and completing a Financial Promotions Risk assessment of all financial service marketing channels across the business.
  • To devise and implement a Financial Promotion MI dashboard.
  • To provide sign off for operational changes to financial promotions.
  • Provide adhoc operational compliance and conduct advice on Financial Promotions.
  • Work effectively at all levels across the Group to provide support and assistance.
  • Provide periodic and other relevant reports/management information on delivery work.


The Person 

  • Excellent understanding of FCA – financial promotion regulatory requirements and FCA culture.
  • A strong and demonstrated ability to provide conduct 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.
  • 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.