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- Tasks: Provide expert compliance support to financial advisers and wealth management firms.
- Company: A growing compliance consultancy with a focus on integrity and professionalism.
- Benefits: Competitive salary, bonus, and comprehensive benefits package.
- Other info: Opportunity for professional growth and development in a supportive environment.
- Why this job: Join a dynamic team and make a real difference in the financial sector.
- Qualifications: 3+ years in compliance, strong FCA knowledge, and Level 4 qualification.
The predicted salary is between 57000 - 63000 £ 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.
Compliance Consultant in Newcastle upon Tyne employer: Clayton Davies
Contact Detail:
Clayton Davies Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Consultant in Newcastle upon Tyne
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance field and let them know you're on the lookout for new opportunities. You never know who might have a lead or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by brushing up on FCA regulations and recent changes. Show that you’re not just knowledgeable but also passionate about compliance. We want to see you shine as a trusted adviser!
✨Tip Number 3
Tailor your approach for each client you meet. Understand their specific needs and challenges, and be ready to offer practical solutions. This will help you stand out as someone who truly gets the compliance landscape.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets the attention it deserves. Plus, we love seeing candidates who take the initiative to connect with us directly.
We think you need these skills to ace Compliance Consultant in Newcastle upon Tyne
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 help our clients. Keep it professional but let your personality come through – we love a bit of character!
Showcase Relevant Experience: When detailing your experience, focus on specific examples that demonstrate your hands-on compliance support skills. Mention any audits, risk assessments, or policy documentation you've worked on – we want to know what you've achieved!
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 makes the process smoother for everyone involved!
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 compliance landscape.
✨Showcase Your Experience
Prepare to share concrete examples from your past roles where you've delivered compliance support or conducted audits. Use the STAR method (Situation, Task, Action, Result) to structure your answers and highlight your impact in previous positions.
✨Build Rapport
Since building strong relationships with clients is key, practice how you'll establish rapport during the interview. Think of ways to demonstrate your interpersonal skills and how you can become a trusted adviser for clients.
✨Stay Updated
Demonstrate your commitment to professional development by discussing recent regulatory changes or industry news. This shows that you’re proactive and dedicated to staying informed, which is crucial in the ever-evolving compliance field.