At a Glance
- Tasks: Provide expert compliance support to financial advisers and wealth management firms.
- Company: A growing consultancy firm dedicated to regulatory excellence.
- 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 compliance.
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 Derby 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, employees benefit from competitive salaries, performance bonuses, and ongoing training opportunities, all while making a meaningful impact in the financial advisory sector. This is an excellent opportunity for those looking to advance their careers in a collaborative culture that values client relationships and regulatory expertise.
StudySmarter Expert Advice🤫
We think this is how you could land Regulatory Affairs Consultant (home based) in Derby
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance and financial sectors. Attend industry events or webinars to meet potential employers and get your name out there. Remember, it’s all about who you know!
✨Tip Number 2
Showcase your expertise! Create a LinkedIn profile that highlights your experience with FCA regulations and compliance. Share articles or insights related to Consumer Duty or SM&CR to position yourself as a knowledgeable candidate.
✨Tip Number 3
Prepare for interviews by brushing up on common compliance scenarios. Think about how you would handle specific regulatory challenges and be ready to discuss your past experiences. Confidence is key!
✨Tip Number 4
Don’t forget to apply through our website! We’ve got loads of opportunities waiting for you. Tailor your application to highlight your hands-on compliance support experience and your ability to build strong client relationships.
We think you need these skills to ace Regulatory Affairs Consultant (home based) in Derby
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the role of Compliance Consultant. Highlight your experience with FCA regulations and any relevant qualifications. We want to see how your background aligns with our mission to provide top-notch compliance support.
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 Your Experience:In your application, be specific about your hands-on experience in compliance roles. Mention any file reviews, audits, or risk assessments you've conducted. We love seeing concrete examples of how you've made an impact in previous positions.
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 shows you’re keen on joining our team!
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 navigated compliance challenges. Highlighting your hands-on experience with file reviews, audits, and risk assessments will demonstrate your practical knowledge and problem-solving skills.
✨Build Rapport
Since this role involves building strong relationships with clients, practice how you'll establish trust and rapport during the interview. Think of ways to convey your interpersonal skills and how you can be a reliable adviser for clients.
✨Stay Updated
Demonstrate your commitment to professional development by discussing recent regulatory changes or trends in the compliance landscape. This shows that you're proactive and dedicated to staying informed, which is crucial for a Compliance Consultant.
