Compliance Consultant

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

Job summary

A growing compliance consultancy seeks an experienced Compliance Consultant for a home-based role. You will support a diverse portfolio of clients, offering high-quality compliance advice aligned with FCA regulations. Responsibilities include conducting audits, risk assessments, and maintaining strong client relationships.

Qualifications

• Strong knowledge of FCA regulations in retail investment and IFA/wealth management.
• Minimum 3 years’ experience in a compliance role.

Responsibilities

• Deliver compliance support and guidance to IFA/wealth firms.
• Conduct file reviews, audits, and monitoring visits.
• Assist with policy documentation and regulatory updates.

Skills

Knowledge of FCA regulations

Client relationship management

Job description

Social network you want to login/join with:

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.