Field-Based Compliance Consultant – Financial Services

SimplyBiz PLC; Scotland; Hybrid; GBP 50,000 - 70,000; Full time

Job summary

SimplyBiz PLC in Scotland seeks a proactive Compliance Consultant to support directly authorised financial advice and mortgage firms. You will deliver risk-based compliance visits, build relationships with member firms, and provide practical guidance to meet FCA requirements.

Role covers central Scotland with occasional travel; work is delivered on-site and remotely as agreed. Essential qualifications include Level 4 Diploma in Financial Planning and CeMAP or equivalent mortgage qualification.

Qualifications

• Qualified to Level 4 Diploma in Financial Planning.
• CeMAP or equivalent mortgage qualification is required.
• Experience in financial services compliance and regulatory environments.

Responsibilities

• Deliver risk-based compliance visits in line with service levels.
• Build trusted relationships with member firms and understand their models and risks.
• Provide tailored compliance guidance to meet FCA expectations.
• Support Consumer Duty embedding and monitoring outcomes.
• Produce clear compliance reports and action plans.
• Keep clients updated on regulatory developments and implications.
• Deliver Training & Competence services including coaching and assessments.
• Assist firms during regulatory or business change to maintain compliance.
• Contribute to thematic reviews and improvement of consultancy methods.

Skills

Regulatory knowledge

Communication skills

Relationship management

Independent working

Time management

Remote/field-based collaboration

Education

Level 4 Diploma in Financial Planning

CeMAP

Diploma in Regulated Financial Planning

Job description

SimplyBiz PLC in Scotland seeks a proactive Compliance Consultant to support directly authorised financial advice and mortgage firms. You will deliver risk-based compliance visits, build relationships with member firms, and provide practical guidance to meet FCA requirements.

Role covers central Scotland with occasional travel; work is delivered on-site and remotely as agreed. Essential qualifications include Level 4 Diploma in Financial Planning and CeMAP or equivalent mortgage qualification.