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- Tasks: Provide expert compliance support to financial advisers and wealth management firms.
- Company: A growing consultancy firm dedicated to helping clients navigate regulations.
- Benefits: Competitive salary, bonuses, and comprehensive benefits package.
- Why this job: Join a mission-driven team and make a real difference in compliance.
- Qualifications: 3+ years in compliance with strong FCA knowledge required.
- Other info: Opportunity for professional growth in a dynamic regulatory environment.
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 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, 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.
Compliance Consultant in Lincoln employer: Clayton Davies
Contact Detail:
Clayton Davies Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Consultant in Lincoln
✨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
Prepare for interviews by brushing up on FCA regulations and recent changes. Be ready to discuss how you’ve tackled compliance challenges in the past. Show them you’re not just knowledgeable but also passionate about helping clients navigate the regulatory landscape.
✨Tip Number 3
Don’t underestimate the power of follow-ups! After an interview, drop a quick thank-you email to express your appreciation and reiterate your interest in the role. It keeps you fresh in their minds and shows your enthusiasm.
✨Tip Number 4
Apply through our website for the best chance at landing that Compliance Consultant role! We’re always on the lookout for talented individuals who can help us support IFAs and wealth management firms with top-notch compliance advice.
We think you need these skills to ace Compliance Consultant in Lincoln
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Consultant role. Highlight your experience with FCA regulations and any relevant qualifications. We want to see how your background aligns with what we're looking for!
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 add value to our team. Keep it concise but impactful – we love a good story!
Showcase Your Experience: When detailing your experience, focus on specific examples where you've provided compliance support or advice. We’re keen to see how you've tackled challenges in previous roles, especially in the IFA or wealth management sectors.
Apply Through Our Website: We encourage you to apply through our website for a smoother application process. It helps us keep everything organised and ensures your application gets the attention it deserves. Don’t miss out!
How to prepare for a job interview at Clayton Davies
✨Know Your FCA Regulations
Make sure you brush up on your knowledge of FCA regulations, especially those relevant to IFAs and wealth management. Being able to discuss these confidently will show that you're not just familiar with the rules but can also apply them practically.
✨Showcase Your Experience
Prepare specific examples from your past roles where you've delivered compliance support or conducted audits. This will help demonstrate your hands-on experience and how you can add value to their team right away.
✨Build Rapport
During the interview, focus on building a connection with your interviewers. Ask insightful questions about their clients and challenges they face. This shows that you’re genuinely interested in becoming a trusted adviser and not just another candidate.
✨Stay Updated on Regulatory Changes
Be ready to discuss recent regulatory changes, like Consumer Duty or SM&CR. Showing that you keep up with industry developments will highlight your commitment to professional growth and your proactive approach to compliance.