At a Glance
- Tasks: Provide expert compliance support to financial advisers and wealth management firms.
- Company: Join a growing consultancy firm dedicated to helping clients navigate regulatory challenges.
- Benefits: Enjoy a competitive salary, remote work flexibility, and professional development opportunities.
- Other info: This is a home-based role with a focus on continuous learning and growth.
- Why this job: Be part of a mission-driven team that values integrity and client relationships.
- Qualifications: Must have 3+ years in compliance and strong knowledge of FCA regulations.
The predicted salary is between 48000 - 72000 € 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 our 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 in a home-based role, 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.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Consultant in Southampton
✨Tip Number 1
Make sure to showcase your knowledge of FCA regulations during any conversations or interviews. Familiarise yourself with recent changes and be ready to discuss how they impact compliance practices, especially in the IFA and wealth management sectors.
✨Tip Number 2
Network with professionals in the compliance field, particularly those who work with IFAs and wealth management firms. Attend industry events or webinars to connect with potential colleagues and learn about the latest trends and challenges in compliance.
✨Tip Number 3
Prepare to demonstrate your hands-on experience by discussing specific examples of compliance support you've provided in previous roles. Highlight your ability to conduct audits, risk assessments, and file reviews effectively.
✨Tip Number 4
Emphasise your relationship-building skills. Be ready to explain how you've successfully developed trust with clients in the past, as this is crucial for a Compliance Consultant role where client interaction is key.
We think you need these skills to ace Compliance Consultant in Southampton
Some tips for your application 🫡
Understand the Role:Before applying, make sure you fully understand the responsibilities of a Compliance Consultant. Familiarise yourself with FCA regulations and the specific requirements mentioned in the job description.
Tailor Your CV:Highlight your relevant experience in compliance roles, especially within the IFA or wealth management sectors. Use specific examples to demonstrate your knowledge of FCA regulations and your ability to provide practical compliance advice.
Craft a Compelling Cover Letter:Write a cover letter that showcases your passion for compliance and your understanding of the challenges faced by IFAs. Mention how your skills align with the company's mission to support clients in meeting their regulatory obligations.
Proofread Your Application:Before submitting, carefully proofread your CV and cover letter for any errors or typos. A polished application reflects your attention to detail, which is crucial in a compliance role.
How to prepare for a job interview at Clayton Davies
✨Know Your Regulations
Make sure you have a solid understanding of FCA regulations, especially those relevant to the retail investment and IFA sectors. Brush up on recent changes and be prepared to discuss how they impact compliance practices.
✨Demonstrate Practical Experience
Be ready to share specific examples from your past roles where you've successfully delivered compliance support or conducted audits. Highlight your hands-on experience with risk assessments and policy documentation.
✨Build Rapport
Since the role involves building strong relationships with clients, practice how you can convey trust and professionalism during the interview. Think of ways to demonstrate your interpersonal skills and how you’ve effectively communicated with clients in the past.
✨Stay Current
Show your commitment to professional development by discussing any recent training or certifications you've pursued. Mention how you keep up-to-date with regulatory changes and how this knowledge can benefit the consultancy firm.
