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For Companies At a Glance
- Tasks: Support financial firms with compliance, build relationships, and deliver tailored solutions.
- Company: Join the UK's leading provider of regulatory support in the retail financial services market.
- Benefits: Enjoy a hybrid work model, flexible hours, and opportunities for professional development.
- Why this job: Be part of a dynamic team making a real impact in the financial sector.
- Qualifications: Must have a Diploma in Regulated Financial Planning and experience in compliance roles.
- Other info: Ideal for proactive individuals who love problem-solving and client interaction.
The predicted salary is between 36000 - 60000 £ per year.
We are the UK's leading provider of outsourced regulatory and business support to the retail financial service market. As part of Fintel, we are committed to simplifying and improving the complex world of financial services and to creating a better outcome for everyone. We’re looking for a proactive, energetic, and talented compliance professional with first-class communication and relationship-building skills, ready to take the next step in their career. Join our team of Field-Based Compliance Consultants delivering a market-leading compliance service to directly authorised adviser firms.
About the Role
This is a field-based role with a hybrid element, supporting our Member Firms (IFAs and Mortgage Advisers) primarily in Yorkshire, Lincolnshire, the East Midlands, and Lancashire. While you'll mainly work within your designated region, occasional support outside your area may be required based on business needs. Ideally, you will be based in or near one of the regions listed. You will deliver compliance support either on-site at client premises or remotely from home. As a key member of the Consultancy Services Team, you will help firms develop, monitor, and maintain their regulatory standards—providing pragmatic, bespoke solutions to mitigate business risk.
Key Responsibilities
- Manage the timely delivery of an allocation of compliance visits
- Build and maintain strong, professional relationships with client firms
- Develop tailored programmes of services and visits, ensuring effective planning and time management
- Analyse regulatory challenges and provide consultative solutions
- Guide firms through regulatory and business changes, sharing updates during visits
- Produce detailed, accurate reports and action plans with practical, actionable recommendations
- Deliver Training & Competence (T&C) services, including training needs analyses, skills assessments, and one-to-one development plans
What You'll Bring (Must Have)
- Diploma in Regulated Financial Planning (or equivalent)
- CeMAP (or equivalent)
- Proven experience in a compliance or regulatory role
- In-depth knowledge of the IFA and Mortgage markets, including providers/lenders
- Broad technical knowledge across financial product areas
- Strong customer focus and a consultative mindset
- Excellent communication skills (written and verbal)
- Strong relationship-building and collaboration skills
- Outstanding organisational and time management abilities
- Confidence working independently in a remote setting
- A passion for solving problems and delivering practical compliance solutions
- Experience delivering presentations and leading productive client meetings
Desirable (Nice to Have)
- G60, AF3 or AF7 qualifications
- J10 qualification or knowledge of the DFM/DIM market
If you're passionate about compliance, enjoy working with diverse firms, and thrive in a dynamic, supportive environment, we’d love to hear from you.
Compliance Consultant employer: Simplybiz
Contact Detail:
Simplybiz Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Consultant
✨Tip Number 1
Familiarise yourself with the specific regulatory challenges faced by IFAs and Mortgage Advisers in your target regions. This knowledge will not only help you during interviews but also demonstrate your proactive approach to understanding the market.
✨Tip Number 2
Network with professionals in the compliance field, especially those who work with IFAs and Mortgage Advisers. Attend industry events or webinars to build relationships and gain insights that could be beneficial in your role as a Compliance Consultant.
✨Tip Number 3
Prepare to discuss real-life scenarios where you've successfully navigated compliance issues. Having concrete examples ready will showcase your problem-solving skills and your ability to deliver practical solutions, which is crucial for this role.
✨Tip Number 4
Demonstrate your communication and relationship-building skills by engaging with potential colleagues or clients on professional platforms like LinkedIn. Share relevant content and insights to position yourself as a knowledgeable and approachable candidate.
We think you need these skills to ace Compliance Consultant
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your relevant experience in compliance and regulatory roles. Emphasise your qualifications, such as the Diploma in Regulated Financial Planning and CeMAP, and showcase your knowledge of the IFA and Mortgage markets.
Craft a Compelling Cover Letter: Write a cover letter that reflects your passion for compliance and your ability to build strong relationships with clients. Mention specific examples of how you've successfully managed compliance challenges in the past.
Showcase Communication Skills: Since excellent communication is key for this role, ensure your application demonstrates your written and verbal communication skills. Use clear, concise language and structure your application logically.
Highlight Problem-Solving Abilities: In your application, provide examples of how you've solved complex compliance issues or delivered training and competence services. This will show your proactive approach and ability to deliver practical solutions.
How to prepare for a job interview at Simplybiz
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of compliance regulations and the financial services market. Be prepared to discuss specific examples from your past experience that demonstrate your understanding and ability to navigate regulatory challenges.
✨Showcase Your Relationship-Building Skills
Since this role involves working closely with client firms, be ready to share examples of how you've successfully built and maintained professional relationships in previous roles. Highlight your communication skills and how they have helped you in a consultative capacity.
✨Demonstrate Problem-Solving Abilities
Prepare to discuss situations where you've had to analyse regulatory challenges and provide practical solutions. This will show your proactive approach and ability to think critically under pressure, which is essential for a Compliance Consultant.
✨Be Organised and Time-Conscious
As the role requires effective planning and time management, come equipped with examples of how you've managed multiple tasks or projects simultaneously. Discuss any tools or methods you use to stay organised, especially in a remote working environment.