Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- Tasks: Lead compliance due diligence for acquisitions in the wealth management sector.
- Company: Join a respected name in wealth management and IFA, driving growth and innovation.
- Benefits: Enjoy competitive pay, potential remote work options, and a collaborative team environment.
- Why this job: Make a real impact in compliance while working with industry experts and enhancing your skills.
- Qualifications: 5+ years in compliance, Level 4 Diploma in Financial Planning, and management experience preferred.
- Other info: Be among the first 25 applicants and take your career to the next level!
The predicted salary is between 43200 - 72000 £ per year.
1 week ago Be among the first 25 applicantsThis range is provided by Clayton Davies. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.Base pay range Direct message the job poster from Clayton DaviesDirector at Clayton Davies – 07515031496 / paul@claytondavies.com Our client is a respected name in the wealth management and IFA sector, and as part of their continued growth, they are seeking a Senior Compliance Consultant with deep expertise in due diligence and acquisitions.This position is focused on leading and supporting the acquisition lifecycle within the wealth management sector. You will conduct compliance due diligence on target IFA firms, assess regulatory risk, and provide practical guidance to ensure smooth and compliant acquisitions and integrations.Role & Responsibilities:Lead compliance due diligence for acquisitions of IFA and wealth management businesses.Evaluate the target firm\’s regulatory history, client files, adviser conduct, T&C schemes, and systems & controls.Identify compliance risks and produce clear, concise reports and recommendations for buyers and stakeholders.Support post-acquisition integration, ensuring alignment with FCA requirements and internal compliance frameworks.Collaborate with legal, finance, and operational teams throughout the acquisition process.Stay current with FCA regulations and guidance affecting financial advice and wealth management.Do you have the following to apply?Minimum 5 years of compliance experience within the IFA or wealth management sector.Strong track record in conducting compliance due diligence and supporting acquisitions or business sales.Previous management experience would be beneficial.Minimum Level 4 Diploma in Financial Planning (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.Seniority level Seniority level Mid-Senior levelEmployment type Employment type Full-timeJob function Job function OtherIndustries Financial Services and Investment ManagementReferrals increase your chances of interviewing at Clayton Davies by 2xGet notified about new Compliance Consultant jobs in United Kingdom .Healthcare Compliance Manager, International London, England, United Kingdom 1 week agoLondon, England, United Kingdom 1 week agoCompliance & Privacy Officer (6-Month Fixed Term) Part-time Compliance Manager (Wealth Management) Senior Manager, Contracts and Compliance Senior Compliance Manager (Remote or Hybrid – UK) London, England, United Kingdom 1 week agoLondon, England, United Kingdom 1 day agoInternal Compliance & Accreditation Manager Senior Manager Employee Relations & Compliance Maidenhead, England, United Kingdom 6 days agoSenior Director, UK Compliance Officer & MLRO Principal Compliance Programme Manager (Physical security) Exeter, England, United Kingdom 5 days agoLondon, England, United Kingdom 2 weeks agoWe\’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
#J-18808-Ljbffr
Senior Compliance Consultant employer: Clayton Davies
Contact Detail:
Clayton Davies Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Consultant
✨Tip Number 1
Network with professionals in the wealth management and IFA sector. Attend industry events or join relevant online forums to connect with others who may have insights into the role or the company.
✨Tip Number 2
Stay updated on the latest FCA regulations and compliance trends. This knowledge will not only help you in interviews but also demonstrate your commitment to the field.
✨Tip Number 3
Prepare to discuss specific examples of your past compliance due diligence work. Highlight your experience in assessing regulatory risks and how you've successfully navigated challenges in previous roles.
✨Tip Number 4
Consider reaching out directly to the job poster, Paul at Clayton Davies, to express your interest and ask any questions you might have about the role. A personal touch can make a positive impression.
We think you need these skills to ace Senior Compliance Consultant
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your compliance experience, particularly in the IFA and wealth management sectors. Emphasise your track record in conducting due diligence and supporting acquisitions.
Craft a Compelling Cover Letter: Write a cover letter that specifically addresses the role of Senior Compliance Consultant. Mention your relevant experience, your understanding of FCA regulations, and how you can contribute to the acquisition lifecycle.
Showcase Relevant Skills: In your application, clearly outline your skills related to compliance risk assessment, report writing, and collaboration with legal and operational teams. Use specific examples to demonstrate your expertise.
Follow Application Instructions: Ensure you follow any specific instructions provided in the job posting. This may include submitting your application through a particular platform or including certain documents. Attention to detail is key!
How to prepare for a job interview at Clayton Davies
✨Showcase Your Compliance Expertise
Make sure to highlight your extensive experience in compliance, particularly within the IFA and wealth management sectors. Be prepared to discuss specific examples of due diligence you've conducted and how you've navigated regulatory challenges.
✨Understand the Acquisition Lifecycle
Familiarise yourself with the acquisition lifecycle in wealth management. Be ready to explain how you would lead compliance due diligence for acquisitions and what key factors you consider when assessing regulatory risks.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions that assess your problem-solving skills in compliance situations. Think about past experiences where you identified compliance risks and how you provided practical guidance to stakeholders.
✨Stay Updated on FCA Regulations
Demonstrate your knowledge of current FCA regulations and guidance affecting financial advice and wealth management. Being able to discuss recent changes and their implications will show your commitment to staying informed in the field.
