Compliance Consultant

JR United Kingdom; Watford; Remote; GBP 40,000 - 65,000; Full time

Job summary

A well-established compliance consultancy is seeking a Compliance Consultant for a home-based role. The successful candidate will provide tailored compliance support to Independent Financial Advisers and wealth management businesses, ensuring adherence to FCA regulations. Responsibilities include conducting audits, risk assessments, and maintaining client relationships while staying updated with regulatory changes.

Qualifications

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

Responsibilities

• Deliver compliance support and guidance to IFA/wealth management firms.
• Conduct file reviews, audits, and monitoring visits.
• Provide advice on new regulations such as Consumer Duty.

Skills

Knowledge of FCA regulations

Compliance support

Risk assessment

Client relationship management

Job description

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Compliance Consultant, Watford, Hertfordshire

Client: Clayton Davies

Location: Watford, Hertfordshire, United Kingdom

Job Category: Other

EU work permit required: Yes

Job Views:

5

Posted:

26.06.2025

Expiry Date:

10.08.2025

Job Description:

Home Based

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 clients meet regulatory obligations with confidence, professionalism, and integrity.

We are 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.

Requirements:

• 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.