Compliance Consultant

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Job Title: Field Based Compliance Consultant

We are seeking a proactive, energetic, and talented compliance professional with excellent communication and relationship-building skills to join our team of Field Based Compliance Consultants. Our team delivers a market-leading compliance service to directly authorised adviser firms.

This is a field-based role supporting our Member Firms (IFA\’s / Mortgage Advisers) in the Buckinghamshire, Bedfordshire, Hertfordshire, Middlesex, Essex & Central London areas. Ideally, you reside in or around this region. You will support our client firms on their premises or remotely, from home, as agreed.

As an integral member of the Consultancy Services Team, you\’ll ensure we provide effective business and compliance solutions, helping firms develop, monitor, and maintain compliance standards to mitigate risks.

Key qualities include motivation, discipline, technical compliance knowledge, industry expertise, and a passion for compliance. You should be comfortable working individually and as part of a team, with strong problem-solving skills, report drafting, and delivering T&C services.

Responsibilities

1. Develop and maintain robust relationships with clients and Member Firms, enhancing understanding of their business.
2. Create and deliver tailored programmes of services and visits through effective planning and time management.
3. Analyse client issues and assist in problem-solving via a consultative approach.
4. Support clients during regulatory and business changes; update firms on relevant regulatory and legislative updates.
5. Produce and deliver accurate reports and action plans, offering clear solutions to help firms develop and maintain compliance standards.
6. Ensure delivery of T&C services, including training needs analysis, skills assessments, one-to-ones, and development plans.

Requirements

• Diploma in Regulated Financial Planning or equivalent qualification.
• Experience in a regulatory/compliance environment.
• Knowledge of IFA markets, including providers and lenders.
• Broad technical knowledge across all product areas.
• Customer-centric approach.
• Strong relationship building and collaboration skills.
• Exceptional written and verbal communication skills.
• Excellent time management and organizational skills.
• Ability to work under pressure.
• Passion for problem-solving and creating solutions.
• Skilled in delivering presentations and running productive meetings.
• Ability to work efficiently and independently in a remote, agile environment.

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