Senior / Head of Compliance

My client is a leading Investment Management and Financial Advisory firm based in North Yorkshire providing full Financial Planning services. They are seeking an experienced Compliance professional to provide regulatory and technical advice and expertise across Investment Management and Financial Advice areas.

Requirements

• Degree calibre and relevant professional compliance/regulatory qualification
• Proven senior level experience in Financial Services compliance
• Track record of working in accordance with regulatory, compliance and conduct risk policies
• Direct experience of managing a successful relationship with the FCA
• Experience of dealing with client assets in accordance with the CASS rules

Benefits

• Excellent benefits package