An Interim Head of Compliance is required by a rapidly expanding, diverse Financial Services provider that has submitted 2 separate applications to the FCA. The main focus of this role will therefore be the oversight of these applications through to full authorisation. We need someone who can start ASAP and it is anticipated that the contract will last up to 6 months. The role is based in Wilmslow, with the flexibility to work from home 1 day per week. As a result you must live within a convenient, commutable distance of Wilmslow. This contract is outside IR35.
Reporting directly into the CEO, this is a really broad role that will involve
- Continuing to design/customise and implementing policies and processes in line with FCA feedback to obtain authorisation, with the help of an external Compliance consultancy.
- Covering all aspects of compliance, including recruitment and training processes and records, sales scripts, marketing materials and websites, customer documentation, call monitoring, GDPR, Bribery & Corruption, risk management, FCA liaison and reporting, complaints etc.
- High-level discussions regarding compliance strategy, design of new products, potential acquisitions, FCA strategy etc.
- Meetings with the FCA and liaison with external Compliance consultants.
- Management of routine compliance processes within Sales, Ops, IT, Finance, marketing departments
- Rolling your sleeves up to listen to calls, design documents, resolve customer disputes and being available for advice around the office.
This is a fantastic opportunity for a seasoned Compliance professional with a proven track record of operating within an FCA regulated firm. You will ideally have experience of taking a business through the FCA application process. Applications are welcomed from all areas of the financial services spectrum due to the diverse nature of the client. It is likely that you will have worked in a highly entrepreneurial, SME or FinTech environment previously and you must have experience of working closely with Executive Management teams.