Compliance Consultant

JR United Kingdom; Greater London; On-site; GBP 50,000 - 70,000; Full time

Job summary

A leading compliance consultancy firm in the UK is seeking an experienced Compliance Consultant. The role involves providing regulatory support to IFA firms, ensuring adherence to FCA regulations, conducting audits, and delivering training sessions. The ideal candidate will have a strong compliance background within the IFA sector and a Level 4 Diploma in Financial Planning.

Qualifications

• Previous compliance experience within the wealth management/IFA space.
• Experience working for a compliance consultancy firm is beneficial.

Responsibilities

• Provide compliance support and guidance to IFA firms.
• Conduct file reviews, audits, and risk assessments.
• Deliver training sessions on compliance best practices.

Skills

Compliance

Regulatory Knowledge

Client Relationship Management

Education

Level 4 Diploma in Financial Planning

Job description

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We are working with a leading compliance consultancy firm that provides expert regulatory support to IFA Firms across the UK. They are seeking an experienced Compliance Consultant with a strong compliance background in the IFA sector. The successful candidate will provide advice and guidance to IFA firms on regulatory requirements, helping them meet their compliance obligations effectively.

Role & Responsibilities:

1. Provide compliance support and guidance to IFA firms, ensuring adherence to FCA regulations.
2. Conduct file reviews, audits, and risk assessments to identify areas for improvement.
3. Assist with regulatory reporting, policy updates, and procedural reviews.
4. Deliver training sessions and workshops on compliance best practices.
5. Keep up to date with regulatory changes and communicate key updates to clients.
6. Support firms in responding to FCA queries and preparing for regulatory inspections.
7. Develop and maintain strong client relationships, acting as a trusted compliance partner.

Do you have the following to apply?

• Qualified to Level 4 Diploma in Financial Planning (or equivalent).
• Previous compliance experience within the wealth management/IFA space.
• Previous compliance experience working for a compliance consultancy firm would be hugely beneficial.

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.