Compliance Consultant

⭐️ Compliance Consultant

Flexible Location

c.£60,000 + Bonus + Excellent Benefits

We are working with a leading compliance consultancy firm that provides expert regulatory support to IFA Firms across the UK. They are seeking an experienced Compliance Consultant with a strong Compliance background in the IFA sector. The successful candidate will provide advice and guidance to IFA firms on regulatory requirements, helping them meet their compliance obligations effectively.

Role & Responsibilitie s:

• 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 app ly? ✅

• Qualified to Level 4 Diploma in Financial Planning (or equivalent)
• Previous Compliance experience within the wealth management/IFA space
• Previous Compliance experience working for a compliance consultancy firm would be hugley 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.