Compliance Consultant

Simply Biz Ltd; Greater London; Hybrid; GBP 40,000 - 60,000; Full time

Job summary

An established industry player is seeking a proactive Compliance Consultant to join their dynamic team. In this hybrid role, you will provide essential compliance support to adviser firms, ensuring they meet regulatory standards while fostering strong relationships. Your expertise in compliance and exceptional communication skills will be key in delivering tailored solutions and training. You'll thrive in a fast-paced environment, problem-solving and working both independently and collaboratively. This is a fantastic opportunity to advance your compliance career with a forward-thinking company that values your contributions and supports your professional growth.

Qualifications

• Experience in regulatory/compliance environment is essential.
• Strong relationship building and collaboration skills are crucial.

Responsibilities

• Manage compliance visits and deliver services to client firms.
• Produce accurate reports and action plans for compliance standards.

Skills

Compliance Knowledge

Relationship Building

Communication Skills

Problem Solving

Time Management

Presentation Skills

Education

Diploma in Regulated Financial Planning

CeMAP or equivalent qualification

G60, AF3 or AF7 qualifications

Job description

We’re looking for a proactive, energetic, and talented professional with first class communication and relationship-building skills, looking to take the next step within their compliance career, to join our team of Field Based Compliance Consultants, delivering a market leading compliance service to directly authorised adviser firms.

This is primarily a field-based role with a hybrid element, supporting our Member Firms (IFA's / Mortgage Advisers) in the East Midlands, Nottingham or Northants areas. Support may also be required outside of the assigned geographical area depending on the operational needs of the business. Ideally, you will reside in or around the East Midlands region. You'll deliver compliance support services to our client firms on their premises or remotely, from home, as agreed with the firm.

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

You’ll be motivated and disciplined. You’ll have a breadth of technical compliance and industry knowledge and you’ll be passionate about compliance. You’ll also be happy working both individually and as part of a team. You’ll be comfortable problem solving, delivering bespoke compliance services, drafting and finalising detailed, accurate reports, action plans and delivering T&C Services where relevant.

What you'll be doing

1. Managing the delivery of an allocation of compliance visits within their contracted timescales
2. Developing and maintaining robust relationships with our clients and Member Firms, increasing knowledge and understanding of their business
3. Creating and delivering an appropriate programme of services and visits to meet the requirements of firms through effective planning, organisation, and time management
4. Analysing client issues and assisting in problem solving via a consultative approach
5. Providing support to clients during times of regulatory and business change and updating firms of any relevant regulatory and/or legislative changes during visits
6. Producing and delivering accurate reports and action plans to provide clear, practical solutions to specific business needs for member firms to enable them to develop, monitor and maintain compliance standards to mitigate risks within their business
7. Ensuring delivery of T&C Services with effective delivery of training needs analysis, skills assessments, one to ones and development plans

What you must have to succeed

1. Diploma in Regulated Financial Planning or equivalent qualification
2. CeMAP or equivalent qualification
3. Experience working in a regulatory/compliance environment
4. Knowledge of IFA and Mortgages markets, including providers/lenders
5. Broad technical knowledge across all product areas
6. You’re customer centric to the core
7. Strong relationship building and collaboration skills
8. Exceptional communication skills, both written and verbal
9. Excellent time management and organisation skills
10. Comfortable working under pressure
11. A passion for problem-solving and building solutions
12. Capable of creating and delivering compelling presentations and running efficient and productive meetings
13. The ability to work efficiently and independently within an agile, remote working environment

Nice to haves

1. G60, AF3 or AF7 qualifications
2. Knowledge of DFM/DIM markets (J10)