Interim Sales – Senior Compliance Consultant (Exclusive role)

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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 Sales compliance and conduct risks with the Group

Key responsibilities include:

  • To provide compliance oversight to the Strategic sales process project, to ensure the sales processes are compliant with ICOBS and CONC requirements.
  • To assist in the updating, development and implementation of the Quality of Sales Assurance reviews.
  • To devise and implement a conduct risk MI dashboard for Sales.
  • To assist in the development of first line compliance MI for the oversight of Sales activity.
  • To update, develop and implement the debt management process.
  • Provide adhoc operational compliance and conduct Sales advice
  • 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 – Sales regulatory requirements and FCA culture.
  • A strong and demonstrated ability to provide Sales 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.
  • Assertive, analytical, accurate and tenacious.
  • Display initiative in identifying and presenting solutions to support activities and plans.
  • Forward looking and focused on effective processes and increasing efficiency.
  • Practical and pro-active approach.
  • Self-motivated, and well organised.
  • Proven leadership, coaching and development skills.
  • A strong and demonstrated ability to provide compliance advice.



The contract will be for an initial 8 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.