Interim Compliance Lead - FTC - Wealth Management

The Interim Compliance Lead will oversee compliance activities within the Risk & Compliance department, ensuring adherence to regulatory requirements in the financial services industry.

This role is a fixed-term contract and requires a detail-oriented professional with expertise in compliance management.

Client Details

The client is a well-established UK Wealth Management firm, focused on retail savings and investments products.

Description

• Good understanding of UK financial services regulation, with a focus on Financial Planning and Wealth Management regulations.
• Experience with financial planning and / or investment advice to retail customers would be beneficial.
• A strong understanding of regulatory and conduct risk management practices in financial services, and what it means to deliver good customer outcomes.
• Commercially sensitive and pragmatic, with the ability to take a risk-based approach on decisions that impact the business.
• Confident in voicing an opinion
• Excellent interpersonal, influencing and communication skills, including the ability to explain requirements in straightforward/ practical terms.
• Solution and delivery focused, with high energy and drive, and ability to deliver through others.
• Must be able to build strong relationships with key stakeholders.

Profile

A successful Interim Compliance Lead - FTC should have:

• Proven experience in compliance management, preferably within the financial services industry.
• A strong understanding of regulatory frameworks and standards.
• Excellent analytical and problem-solving skills.
• Experience in developing and implementing compliance policies and procedures.
• Strong interpersonal and communication skills to liaise effectively with stakeholders.
• Ability to manage multiple tasks and prioritise effectively in a fast-paced environment.
• Relevant professional qualifications in compliance or risk management are desirable.

Job Offer

• Competitive salary ranging from 45,000 to 47,500 per annum.
• Opportunity to work within a reputable financial services organisation.
• Supportive and professional working environment.
• Chance to contribute to critical compliance initiatives.
• Potential for career development within the compliance and risk management field.