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- Tasks: Join a team of Compliance Consultants delivering top-notch compliance services to adviser firms.
- Company: A leading compliance consultancy firm in the wealth management sector.
- Benefits: Enjoy flexible work options, including remote work and a supportive team environment.
- Why this job: Make a real impact by helping firms navigate compliance challenges while building strong client relationships.
- Qualifications: Must have a Diploma in Financial Planning (or equivalent) and experience in compliance within wealth management.
- Other info: Opportunity to grow your skills in a dynamic and evolving regulatory landscape.
The predicted salary is between 36000 - 60000 £ per year.
Our client, a successful compliance consultancy firm operating in the wealth management space, are looking for a Compliance Consultant to join the business. You will join a successful team of Field Based Compliance Consultants, delivering a market leading compliance service to directly authorised adviser firms. You\’ll deliver compliance support services to our client firms on their premises or remotely, from home, as agreed with the firms.
Key Responsibilities:
- Managing the delivery of an allocation of compliance visits within your contracted timescales
- Developing and maintaining robust relationships with their clients and Member Firms, increasing knowledge and understanding of their business
- Creating and delivering an appropriate programme of services and visits to meet the requirements of firms through effective planning, organisation, and time management
- Analysing client issues and assisting in problem solving via a consultative approach
- Providing support to clients during times of regulatory and business change and updating firms of any relevant regulatory and / or legislative changes during visits
- Producing and delivering accurate reports and action plans to provide clear, practical solutions to specific business needs for member firms to enable them to develop, monitor and maintain compliance standards to mitigate risks within their business
- Ensuring delivery of T&C Services with effective delivery of training needs analysis, skills assessments, one to ones and development plans
Experience Required:
- Be qualified in the Diploma in Financial Planning (or equivalent)
- CeMAP or equivalent
- Experience working in a compliance environment within the wealth management space
Compliance Consultant employer: Clayton Davies
Contact Detail:
Clayton Davies Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Consultant
✨Tip Number 1
Familiarize yourself with the latest regulatory changes in the wealth management sector. This knowledge will not only help you during interviews but also demonstrate your commitment to staying updated in a fast-paced environment.
✨Tip Number 2
Network with professionals already working in compliance consultancy. Attend industry events or join relevant online forums to gain insights and potentially get referrals that could lead to job opportunities.
✨Tip Number 3
Prepare to discuss specific examples of how you've successfully managed compliance issues in the past. Use the STAR method (Situation, Task, Action, Result) to structure your responses effectively.
✨Tip Number 4
Showcase your relationship-building skills by preparing to talk about how you've developed strong client relationships in previous roles. Highlight any strategies you've used to enhance client satisfaction and trust.
We think you need these skills to ace Compliance Consultant
Some tips for your application 🫡
Understand the Role: Take the time to thoroughly read the job description for the Compliance Consultant position. Understand the key responsibilities and required qualifications, so you can tailor your application accordingly.
Highlight Relevant Experience: In your CV and cover letter, emphasize your experience in compliance, particularly within the wealth management sector. Mention specific examples of how you've managed compliance visits or developed client relationships.
Showcase Your Qualifications: Make sure to clearly state your qualifications, such as the Diploma in Financial Planning or CeMAP. Include any additional certifications that may be relevant to the role.
Craft a Strong Cover Letter: Write a compelling cover letter that outlines your understanding of the compliance landscape and your consultative approach to problem-solving. Make it clear why you would be a great fit for the consultancy firm.
How to prepare for a job interview at Clayton Davies
✨Understand the Compliance Landscape
Make sure you have a solid grasp of the current compliance regulations in the wealth management sector. Familiarize yourself with recent changes and how they impact advisory firms, as this will demonstrate your proactive approach and industry knowledge.
✨Showcase Your Relationship-Building Skills
Since the role involves developing robust relationships with clients, prepare examples from your past experiences where you've successfully built and maintained client relationships. Highlight your consultative approach and how it has led to positive outcomes.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving abilities in real-world compliance scenarios. Practice articulating your thought process and the steps you would take to address specific compliance issues faced by firms.
✨Demonstrate Your Organizational Skills
The role requires effective planning and time management. Be ready to discuss how you prioritize tasks and manage your schedule, especially when delivering compliance visits or training sessions. Use specific examples to illustrate your organizational strategies.
