At a Glance
- Tasks: Deliver compliance consultancy services and support firms in meeting regulatory requirements.
- Company: Join a dynamic team focused on financial compliance and client success.
- Benefits: Competitive salary, flexible working, and opportunities for professional growth.
- Other info: Field-based role with travel opportunities and a supportive team environment.
- Why this job: Make a real difference in the financial sector while building strong relationships.
- Qualifications: Level 4 Diploma in Financial Planning and a mortgage qualification required.
The predicted salary is between 40000 - 50000 € per year.
We are seeking a proactive and highly motivated Compliance Consultant with strong technical expertise and exceptional relationship management skills to support directly authorised financial advice and mortgage firms.
Essential requirements:
- Qualified to a minimum of Level 4 Diploma in Financial Planning
- A mortgage qualification
Role Overview:
The role involves delivering high-quality, risk-based compliance consultancy services, helping firms interpret and implement regulatory requirements, including Consumer Duty, to ensure good client outcomes, effective governance, and robust risk management frameworks. As an integral member of the Consultancy Services Team, you will provide tailored business and compliance solutions to member firms, enabling them to develop, monitor and maintain regulatory standards while mitigating conduct and operational risks.
Location details:
This is a field-based role to cover Taunton, Exeter, Devon. Occasional travel outside these regions may be required to meet business needs. Support will be delivered both on-site at client premises and remotely, as agreed with individual firms. Ideally, candidates will reside within or close to the regions outlined above.
What you’ll do:
- Deliver a programme of risk-based compliance visits in line with contracted service levels and timescales
- Build and maintain strong, trusted relationships with Member Firms, developing a deep understanding of their business models, risks, and advice processes
- Provide tailored, consultative compliance guidance to help firms meet FCA regulatory expectations
- Support firms in embedding and evidencing Consumer Duty outcomes, including fair value, customer understanding, and ongoing monitoring
- Identify regulatory and conduct risks, providing clear, pragmatic recommendations and appropriate escalation where necessary
- Produce accurate, high-quality compliance reports and action plans that offer practical solutions to identified issues
- Provide timely updates on regulatory and legislative developments and their practical implications for firms
- Deliver Training
Compliance Consultant in Kent employer: SimplyBiz PLC
As a Compliance Consultant with us, you will thrive in a dynamic and supportive work environment that prioritises professional growth and development. Our commitment to fostering strong relationships with our member firms ensures that you will play a vital role in shaping compliance standards while enjoying the flexibility of a field-based role across the beautiful regions of Taunton, Exeter, and Devon. We offer competitive benefits, ongoing training opportunities, and a culture that values collaboration and innovation, making us an excellent employer for those seeking meaningful and rewarding careers in compliance consultancy.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Consultant in Kent
✨Tip Number 1
Network like a pro! Get out there and connect with industry professionals, attend events, and join relevant online forums. Building relationships can open doors to opportunities that aren’t even advertised.
✨Tip Number 2
Showcase your expertise! Create a personal brand on platforms like LinkedIn by sharing insights, articles, or even your thoughts on recent regulatory changes. This not only highlights your knowledge but also attracts potential employers.
✨Tip Number 3
Prepare for interviews by practising common compliance scenarios. Think about how you would handle specific regulatory challenges and be ready to discuss your approach. Confidence in your answers can really set you apart!
✨Tip Number 4
Don’t forget to apply through our website! We’ve got a range of exciting roles waiting for you, and applying directly can give you an edge. Plus, it shows you’re genuinely interested in joining our team!
We think you need these skills to ace Compliance Consultant in Kent
Some tips for your application 🫡
Tailor Your CV:Make sure your CV reflects the skills and experience that match the Compliance Consultant role. Highlight your qualifications, especially your Level 4 Diploma in Financial Planning and any mortgage qualifications you have.
Craft a Compelling Cover Letter:Use your cover letter to tell us why you're the perfect fit for this role. Share specific examples of how you've built strong relationships and provided compliance guidance in previous positions.
Showcase Your Technical Expertise:In your application, emphasise your understanding of regulatory requirements and risk management frameworks. We want to see how you can help firms interpret and implement these regulations effectively.
Apply Through Our Website:For the best chance of success, make sure to apply directly through our website. This way, we can easily track your application and get back to you quickly!
How to prepare for a job interview at SimplyBiz PLC
✨Know Your Stuff
Make sure you brush up on your knowledge of compliance regulations, especially around Consumer Duty and FCA expectations. Being able to discuss these topics confidently will show that you're not just qualified but also genuinely interested in the field.
✨Build Rapport
Since relationship management is key for this role, practice how you'll connect with interviewers. Think about how you can demonstrate your ability to build trust and understanding with clients, perhaps by sharing past experiences where you've successfully managed client relationships.
✨Showcase Your Problem-Solving Skills
Prepare examples of how you've identified risks and provided practical solutions in previous roles. This will highlight your proactive approach and ability to think critically, which are essential for a Compliance Consultant.
✨Ask Insightful Questions
At the end of the interview, have a few thoughtful questions ready about the company’s approach to compliance or their expectations for the role. This shows your enthusiasm and helps you gauge if the company is the right fit for you.
