Compliance Consultant

JR United Kingdom; Bath; Remote; GBP 40,000 - 60,000; Full time

Job summary

A leading compliance consultancy firm is seeking an experienced Compliance Consultant for a home-based role. The position involves providing critical compliance support to Independent Financial Advisers and wealth management businesses, along with conducting reviews and policy documentation. Suitable candidates will have a strong grasp of FCA regulations and at least three years of relevant experience.

Qualifications

• Strong knowledge of FCA regulations, especially in retail investment/IFA/wealth management.
• Minimum 3 years' experience in compliance, ideally in consultancy or with an IFA/wealth firm.

Responsibilities

• Deliver hands-on compliance support and guidance to IFA/wealth management firms.
• Conduct file reviews, risk assessments, audits, and monitoring visits.
• Provide advice on new regulations like Consumer Duty and SM&CR.

Skills

Knowledge of FCA regulations

Compliance support

Risk assessments

Relationship building

Professional development

Job description

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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 our 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 in a home-based role, supporting a diverse portfolio of clients with high-quality, practical, and commercially focused compliance advice.

Role & Responsibilities:

1. Deliver hands-on compliance support and guidance to IFA/wealth management firms in line with FCA regulations.
2. Conduct file reviews, risk assessments, audits, and monitoring visits (virtually and occasionally on-site).
3. Assist with policy documentation, procedures, and regulatory updates.
4. Provide interpretation and advice on new regulations, such as Consumer Duty, SM&CR, and ESG-related compliance.
5. Build strong relationships with clients to become a trusted adviser and first point of contact.
6. 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.

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.