Compliance Consultant

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

Job summary

A leading compliance consultancy is seeking a Compliance Consultant for a home-based role to provide high-quality compliance advice to Independent Financial Advisers and wealth management businesses. The role involves delivering compliance support, conducting audits, and maintaining client relationships while staying abreast of regulatory updates.

Qualifications

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

Responsibilities

• Deliver hands-on compliance support to IFA/wealth management firms.
• Conduct file reviews, risk assessments, audits, and monitoring visits.
• Provide interpretation and advice on new regulations.

Skills

FCA regulations

Compliance support

Risk assessments

Interpersonal skills

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:

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