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For Companies At a Glance
- Tasks: Support IFAs with compliance advice, conduct audits, and build client relationships.
- Company: Join a growing consultancy firm dedicated to helping clients meet regulatory obligations.
- Benefits: Enjoy a full-time role with opportunities for professional development and remote work options.
- Why this job: Be part of a mission-driven team that values integrity and professionalism in financial services.
- Qualifications: 3+ years in compliance, strong knowledge of FCA regulations, ideally in financial services.
- Other info: This role offers a chance to make a real impact in the compliance landscape.
The predicted salary is between 28800 - 48000 ÂŁ per year.
Overview
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 their clients meet their regulatory obligations with confidence, professionalism, and integrity.
As part of their continued growth, we’re seeking an experienced Compliance Consultant to join their team, supporting a diverse portfolio of clients with high‑quality, practical, and commercially focused compliance advice.
Location & Travel
đź“Ť Remote based with travel as/when required
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.
Qualifications
- 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.
Additional Information
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.
Job Details
Seniority level: Mid‑Senior level
Employment type: Full‑time
Job function: Other
Industries: Financial Services and Investment Management
Contact
Director at Clayton Davies – 07515031496 / paul@claytondavies.com
Application Process
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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
Network with professionals in the compliance field, especially 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 2
Stay updated on the latest FCA regulations and compliance news. Subscribe to relevant newsletters or follow industry leaders on social media to ensure you have the most current knowledge, which will be crucial during interviews.
✨Tip Number 3
Prepare to discuss specific examples from your previous experience where you successfully navigated compliance challenges. Highlight your ability to build strong client relationships and provide practical solutions, as this is key for the role.
✨Tip Number 4
Consider reaching out directly to the job poster, Paul at Clayton Davies, to express your interest and ask any questions you may have about the role. This can help you stand out and show your enthusiasm for the position.
We think you need these skills to ace Compliance Consultant
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 needs of Independent Financial Advisers (IFAs) and wealth management businesses.
Tailor Your CV: Highlight your relevant experience in compliance roles, especially any work with IFAs or wealth management firms. Emphasise your knowledge of FCA regulations and any specific achievements that demonstrate your ability to provide high-quality compliance advice.
Craft a Strong Cover Letter: Write a compelling cover letter that showcases your passion for compliance and your understanding of the industry. Mention how your skills align with the company's mission to support clients in meeting their regulatory obligations.
Follow Up: After submitting your application through our website, consider sending a polite follow-up email to express your continued interest in the position. This can help keep your application top of mind for the hiring team.
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 Independent Financial Advisers and wealth management. Brush up on recent changes like Consumer Duty and SM&CR, as these are likely to come up during your interview.
✨Demonstrate Practical Experience
Be prepared to discuss your previous compliance roles in detail. Highlight specific examples where you've conducted file reviews, risk assessments, or audits, and how your actions positively impacted your clients.
✨Build Rapport
Since the role involves building strong relationships with clients, practice how you would establish trust and communicate effectively. Think of ways to demonstrate your interpersonal skills and how you can be a reliable adviser.
✨Stay Updated
Show your commitment to professional development by discussing how you keep up with regulatory changes. Mention any relevant courses, webinars, or industry news sources you follow to stay informed.
