At a Glance
- 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, Level 4 qualified.
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're 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 Warrington employer: Clayton Davies
Join a dynamic and supportive compliance consultancy firm that prioritises professional growth and offers a collaborative work culture. With competitive salaries, bonuses, and a comprehensive benefits package, this role as a Compliance Consultant provides the opportunity to work with a diverse range of clients while staying at the forefront of regulatory changes. Located UK wide, the company fosters an environment where your expertise is valued, and your contributions directly impact client success.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Consultant in Warrington
✨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 gig! We’re always on the lookout for talented individuals who can help us support our clients with top-notch compliance advice. Let’s make it happen together!
We think you need these skills to ace Compliance Consultant in Warrington
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 professional but let your personality come through.
Showcase Relevant Experience:When detailing your experience, focus on specific examples that demonstrate your hands-on compliance support skills. We love seeing how you've tackled challenges in previous roles, especially in the IFA or wealth management space.
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 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 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, making it easy for the interviewer to see how your experience aligns with their needs.
✨Build Rapport
Since building strong relationships with clients is key in this role, practice how you'll establish rapport during the interview. Think about how you can demonstrate your interpersonal skills and ability to be a trusted adviser, perhaps by sharing a story where you successfully built a client relationship.
✨Stay Updated
Demonstrate your commitment to professional development by discussing recent regulatory changes or trends in compliance. This shows that you’re proactive and dedicated to staying informed, which is crucial for a Compliance Consultant.
