Interim Senior Compliance Officer - Investment/Asset Management

Expiring today

11 Feb 2018
21 Feb 2018
Contract Type
Full Time

Interim Senior Compliance Officer - Investment/Asset Management

Location - Reading

Rate - £400 per day

Duration - 12 months

Interim Senior Compliance Officer is required for a large financial services business for a 12-month assignment focusing on marketing and financial promotions. You will conduct compliance reviews of all communications to ensure adherence to all regulatory requirements and internal standards. You will be required to have a high level of technical knowledge and subject matter expertise within the FCA regulated environment relating to the review of marketing material and financial promotions.

Experience with in the investment/asset management area would be highly desirable for this role.


  • Responsible for the day-to-day review and approval of financial promotions
  • Managing the workload for the specialist areas of the business appointed to them
  • Interacting with members of the core compliance services team to assess, document, monitor, report, develop, coordinate, and implement various improvements to compliance marketing activities
  • Leading project team(s) in the development and implementation of strategic projects related to compliance
  • Providing compliance advice and support to the business and management
  • Research issues, projects or initiatives and advise team members, the wider compliance department and the business
  • Overseeing & supporting other team members
  • Examining rule changes and discussing implications with the UK marketing compliance team, and the wider business
  • Producing and updating marketing compliance policies and procedures at the direction of the Compliance Manager


  • 5 years' compliance experience, desired
  • Detailed knowledge of financial products and services, essential.
  • Highly experienced in the review of financial promotions and provision of distribution advice, essential.
  • Experience and exposure to operational risk management procedures and processes, desired.
  • Excellent understanding of the FCA conduct of business rules, essential.

I will be shortlisting CV's immediately for this 12-month contract role so if you have the skills and experience required please waste no time in applying.

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