Compliance Consultant

– Compliance Consultant

– Home Based (Ideally 1 day per week in their Yorkshire office)

– c.£60,000 + Bonus + Benefits

Our client is a successful compliance consultancy firm who offer excellent, client-focused compliance support to their partner firms across the UK. They offer a range of services, from Consultancy to file reviews, systems and controls audit, T&C audits and supervision, due diligence, financial promotions compliance sign off, remediation services and many more.

They are looking for an experienced Compliance Consultant to join their growing team.

Role & Responsibilities:

• Provide compliance support and guidance to IFA firms, ensuring adherence to FCA regulations.
• Conduct file reviews, audits, and risk assessments to identify areas for improvement.
• Assist with regulatory reporting, policy updates, and procedural reviews.
• Deliver training sessions and workshops on compliance best practices.
• Keep up to date with regulatory changes and communicate key updates to clients.
• Support firms in responding to FCA queries and preparing for regulatory inspections.
• Develop and maintain strong client relationships, acting as a trusted compliance partner.

Do you have the following to apply?

• Qualified to Level 4 Diploma in Financial Planning (or equivalent)
• Previous Compliance experience within the wealth management industry (experience within a consultancy firm would be beneficial).

Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.

Clayton Davies is acting as an employment agency on behalf of our client.