Senior Compliance Advisory Officer


Tyne & Wear

Salary Sought




Applicant Profile

SENIOR COMPLIANCE ADVISORY OFFICER with 20 years experience gained in the financial services sector. Expertise is risk and compliance within the 2nd line function. Has an excellent understanding of the expectations of financial services regulators with direct experience of regulator engagement. A strong knowledge and understanding of FCA handbooks including ICOBS, DISP, SYSC and MCOBS resulting in strong technical knowledge in regulation and financial regulator rules, guidance procedures and a detailed understanding of current regulation. Experienced in conduct risk reporting and providing specialist advice and guidance from a conduct risk perspective.

Applicant Qualifications

Holds PMI RPC, FPC1 and CF2.


Anthony Brooks
Tel: 0113 244 0846 Mon to Fri 8.30am - 5.30pm.

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