Compliance Consultant

ZipRecruiter; Nottingham; Hybrid; GBP 46,000 - 55,000; Full time

Job summary

A well-established compliance consultancy is seeking a Compliance Consultant to provide support to Independent Financial Advisers and wealth management businesses. The ideal candidate will have strong FCA regulatory knowledge and at least 3 years of compliance experience. Responsibilities include delivering compliance support, conducting audits, and maintaining client relationships. This role offers a competitive salary of c.£55,000 plus benefits.

Benefits

Competitive salary

Benefits

Qualifications

• 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.

Responsibilities

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

Skills

Knowledge of FCA regulations

Compliance experience

Relationship building

Education

Minimum Level 4 qualified or equivalent

Job description

Job Description

️ Compliance Consultant

Open to candidates based in Lancashire, Yorkshire or East Midlands

c.£55,000 + Benefits

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, 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.
• Minimum Level 4 qualified (or equivalent)

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.