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- 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 a full-time role with opportunities for professional development and collaboration.
- Why this job: Make a real impact in compliance while working with diverse teams and enhancing your expertise.
- Qualifications: 5+ years in compliance, strong due diligence skills, and Level 4 Diploma in Financial Planning required.
- Other info: This is a mid-senior level position with potential for career advancement.
The predicted salary is between 48000 - 72000 £ per year.
1 week ago Be among the first 25 applicants
This 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 Davies
Director 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 level
Employment type
-
Employment type
Full-time
Job function
-
Job function
Other
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Industries
Financial Services and Investment Management
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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 sector. Attend industry events or join relevant online forums to connect with others who may have insights into the role and the company. This can help you get a foot in the door.
✨Tip Number 2
Stay updated on the latest FCA regulations and compliance trends. Being knowledgeable about current issues will not only prepare you for interviews but also demonstrate your commitment to the field.
✨Tip Number 3
Prepare to discuss specific examples of your past compliance due diligence work. Highlighting your experience with acquisitions and how you've navigated regulatory challenges will set you apart from other candidates.
✨Tip Number 4
Consider reaching out directly to the hiring manager or recruiter via LinkedIn. A polite message expressing your interest in the position can make a positive impression and show your enthusiasm for the role.
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 Qualifications: Include your Level 4 Diploma in Financial Planning or equivalent in your application. If you have any additional certifications or training related to compliance, make sure to mention those as well.
Highlight Collaboration Skills: Since the role involves working with legal, finance, and operational teams, provide examples in your application of how you've successfully collaborated with different departments in previous roles.
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 and what key factors you consider when assessing regulatory risks during acquisitions.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions that assess your problem-solving skills in real-world 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.