Compliance & Investigations...

Compliance & Investigations Consultant

Job Title: Compliance & Investigations Consultant
Contract Type: Permanent
Location: Home Based
Salary: £50000 - £60000 per annum, Benefits: Competitive Benefits & Car Allowance
Start Date: ASAP
Reference: JM/CIC
Contact Name: Joanne McPherson
Contact Email:
Job Published: May 23, 2018 08:57

Job Description

Are you a compliance professional who really likes to get "under the bonnet" of a business?   Are you inquisitive and tenacious and keen to establish the root of a problem and fix it?

I am looking to engage with experienced investigative regulatory and audit professionals from an IFA/restricted advisory background.  You will have the credibility and gravitas to challenge and ask the right questions in the right way to extract the required information.

You will be fully up to speed with the FCA handbook, regulatory and conduct requirements within Financial Planning and have the ability to investigate, report and resolve challenges whilst engaging fully with your stakeholders.

This role can be home based with travel as required to conduct audits and deep dives across a diverse adviser community.

Diploma Level 4 required with a strong investigatory, monitoring/audit background.

For a confidential conversation please don't hesitate to contact me on 0113 4260783.