Sector -

Financial Services

Discipline -

Compliance

Interim Compliance Officer

The Role

Interesting role for a compliance professional with an established and growing financial services business. Our client operates in the IFA and Financial Planning space for private clients and offers a number of associated services including fund management. This role, which has the potential to be permanent, is an important role within the senior management team and reports directly to the CEO. The role will sit as part of a small compliance team with responsibility for all aspects of compliance from ad hoc business advice to monitoring, training, AML, KYC, TCF, promotions etc. They will also be expected to be fully up to date with regulatory developments, in particular RDR, and maintain a strong relationship with the FSA.

The candidate will need broad experience of managing a compliance function (will likely have been CF 10) within financial services including experience of IFAs and pension and investment products. They will need to be comfortable managing senior stakeholders and representing the organisation externally but also prepared to be hands on detail focused.

Your CV will be forwarded to: Charles Geoghegan, 020 7079 3737

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