Field-Based Regulatory Compliance Consultant - Financial Services

Simplybiz; Scotland; On-site; GBP 42,000 - 54,000; Full time

Job summary

Simplybiz, part of Fintel Services, seeks a Compliance Consultant to provide risk-based regulatory consultancy to member firms across the UK, focusing on Consumer Duty to support good outcomes and strong governance. The role is field-based covering central Scotland with some travel; you will conduct compliance visits, create action plans, and guide firms through FCA requirements and consumer outcomes.

Applicants should hold a Level 4 Diploma in Regulated Financial Planning and have proven

Qualifications

• Level 4 Diploma in Regulated Financial Planning (or equivalent)
• Experience in a financial services compliance, regulatory or supervisory environment
• Strong knowledge of IFA and mortgage markets
• Excellent communication and relationship-building skills
• Comfortable working independently in a field-based, agile environment

Responsibilities

• Deliver risk-based compliance visits and build lasting relationships with Member Firms
• Guide firms through FCA regulatory requirements and Consumer Duty outcomes
• Identify risks and produce clear, practical compliance reports and action plans
• Deliver T&C services - training needs analysis, skills assessments, coaching and development plans

Skills

Regulatory compliance

IFA & Mortgage markets

Communication & relationships

Independent field-based work

Willingness to travel

G60 AF3 AF7 knowledge

Consultancy background

Education

Level 4 Diploma in Regulated Financial Planning

Job description

Simplybiz, part of Fintel Services, seeks a Compliance Consultant to provide risk-based regulatory consultancy to member firms across the UK, focusing on Consumer Duty to support good outcomes and strong governance. The role is field-based covering central Scotland with some travel; you will conduct compliance visits, create action plans, and guide firms through FCA requirements and consumer outcomes.

Applicants should hold a Level 4 Diploma in Regulated Financial Planning and have proven