At a Glance
- Tasks: Provide expert compliance support to financial advisers and wealth management firms.
- Company: A growing consultancy firm dedicated to regulatory compliance.
- Benefits: Competitive salary, bonus, and comprehensive benefits package.
- Other info: Home-based role with opportunities for professional growth.
- Why this job: Join a mission-driven team and make a real impact in the finance sector.
- Qualifications: Strong FCA knowledge and at least 3 years in a compliance role.
The predicted salary is between 60000 - 60000 € per year.
We are working with a well-established and growing compliance consultancy firm specialising in providing tailored compliance support to Independent Financial Advisers (IFAs) and wealth management businesses. Their mission is to help clients meet their regulatory obligations with confidence, professionalism, and integrity.
As part of their continued growth, we are seeking an experienced Compliance Consultant to join their team, supporting a diverse portfolio of clients with high-quality, practical, and commercially focused compliance advice.
Role & Responsibilities:
- Deliver hands-on compliance support and guidance to IFA/wealth management firms in line with FCA regulations.
- Conduct file reviews, risk assessments, audits, and monitoring visits (virtually and occasionally on-site).
- Assist with policy documentation, procedures, and regulatory updates.
- Provide interpretation and advice on new regulations, such as Consumer Duty, SM&CR, and ESG-related compliance.
- Build strong relationships with clients to become a trusted adviser and first point of contact.
- Keep up to date with regulatory changes and maintain professional development.
Do you have the following to apply?
- Strong knowledge of FCA regulations, particularly within the retail investment/IFA/wealth management space.
- Minimum 3 years’ experience in a compliance role, ideally within a consultancy or directly with an IFA/wealth firm.
- Minimum Level 4 qualified (or equivalent).
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.
Regulatory Affairs Consultant (home based) in Cardiff employer: Clayton Davies
Join a dynamic and supportive compliance consultancy that prioritises professional growth and offers a flexible home-based working environment. With a strong commitment to integrity and excellence, this firm provides its employees with comprehensive training, competitive salaries, and a bonus structure, ensuring you thrive while helping clients navigate the complexities of regulatory compliance. Experience a collaborative culture where your expertise is valued, and you can make a meaningful impact on the financial advisory sector.
StudySmarter Expert Advice🤫
We think this is how you could land Regulatory Affairs Consultant (home based) in Cardiff
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance and financial advisory sectors. Attend industry events or webinars to meet potential employers and get your name out there.
✨Tip Number 2
Show off your expertise! Create a LinkedIn profile that highlights your knowledge of FCA regulations and your experience in compliance roles. Share relevant articles or insights to position yourself as a thought leader.
✨Tip Number 3
Prepare for interviews by brushing up on recent regulatory changes, especially around Consumer Duty and SM&CR. Be ready to discuss how you can provide practical compliance advice to clients.
✨Tip Number 4
Don’t forget to apply through our website! We’ve got loads of opportunities waiting for you, and applying directly can give you a better chance of standing out from the crowd.
We think you need these skills to ace Regulatory Affairs Consultant (home based) in Cardiff
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Compliance Consultant role. Highlight your experience with FCA regulations and any relevant qualifications. We want to see how your background aligns with what we're looking for!
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how you can help our clients meet their regulatory obligations. Keep it professional but let your personality come through.
Showcase Relevant Experience:When detailing your experience, focus on specific examples that demonstrate your hands-on compliance support. Mention any audits, risk assessments, or client relationships you've built. We love seeing real-world applications of your skills!
Apply Through Our Website:We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it makes the process smoother for everyone involved!
How to prepare for a job interview at Clayton Davies
✨Know Your Regulations
Make sure you brush up on FCA regulations, especially those relevant to IFAs and wealth management. Being able to discuss specific regulations like Consumer Duty or SM&CR will show that you're not just familiar with the basics but are genuinely engaged with the field.
✨Showcase Your Experience
Prepare to share concrete examples from your past roles where you've successfully provided compliance support or conducted audits. This will help demonstrate your hands-on experience and how you can add value to their team.
✨Build Rapport
Since building strong relationships with clients is key, think about how you can convey your interpersonal skills during the interview. Practice discussing how you've established trust with clients in previous roles, as this will be crucial for the role.
✨Stay Updated
Keep yourself informed about the latest regulatory changes and trends in the compliance landscape. Mentioning recent updates during your interview will show that you're proactive and committed to professional development, which is a big plus for any consultancy firm.
