Compliance Consultant

Simplybiz; Derby; Hybrid; GBP 40,000 - 55,000; Full time

Job summary

A leading company in outsourced regulatory support seeks a proactive Field-Based Compliance Consultant. This hybrid role involves building relationships with Member Firms and delivering tailored compliance solutions. Ideal candidates will have expertise in financial planning, proven compliance experience, and exceptional communication skills.

Qualifications

• Proven experience in a compliance or regulatory role.
• In-depth knowledge of IFA and Mortgage markets.
• Confidence working independently in a remote setting.

Responsibilities

• Manage the timely delivery of compliance visits.
• Produce detailed, accurate reports and action plans.
• Deliver T&C services including needs analyses and development plans.

Skills

Strong customer focus

Excellent communication skills

Relationship-building

Organisational skills

Education

Diploma in Regulated Financial Planning

CeMAP

Job description

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We are the UK's leading provider ofoutsourced 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.

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Created on 02/07/2025 by TN United Kingdom