Regulatory Consultant

TFAS Enterprises LTD; Leeds; On-site; GBP 45,000 - 60,000; Full time

Job summary

An established industry player is seeking a dedicated compliance professional to provide exceptional client-focused support. This role involves monitoring compliance, conducting audits, and delivering training to ensure firms meet regulatory standards. The ideal candidate will possess strong communication skills, attention to detail, and a proactive approach to problem-solving. With a hybrid working pattern and opportunities for professional development, this position offers a dynamic work environment where you can thrive and contribute to the success of diverse firms across the UK.

Benefits

25 days annual leave plus Bank Holidays

4pm Finish on Fridays

Annual discretionary performance-related bonus

Private medical insurance

5% Employer pension contribution

24-hour access to employee assistance programme

Opportunities for continuous professional development

Buying and selling annual leave scheme

£500 refer a friend scheme

Free mortgage advice

Qualifications

• Minimum 5 years of experience in compliance-related roles.
• Strong communication and problem-solving skills are essential.

Responsibilities

• Monitor client activities to ensure compliance with regulations.
• Provide guidance and training on compliance matters.
• Conduct audits and develop compliance collateral.

Skills

Strong communication skills

Attention to detail

Interpersonal skills

Time management

Problem solving

Education

Level 4 qualification

Level 6 qualification

Pension transfer specialist

Job description

Department: Compliance

Location: Leeds

Compensation: £45,000 - £60,000 / year

Description

At TFAS Compliance Services, we deliver excellent, client-focused compliance support to our partner firms across the UK. We offer a range of services, from Consultancy to file reviews, systems and controls audit, T&C audits and supervision, due diligence, financial promotions compliance sign off, remediation services and many more.

Basically, we tailor our support to the business model of the firm, ensuring we act as a 'critical friend' to keep them compliant with all regulatory requirements whilst helping them to achieve their business objectives. The firms we support are of various sizes and business models and include financial planning and wealth management firms, networks, Discretionary Fund Managers, mortgage and protection firms, consumer credit firms and other regulated firms.

The ideal candidate will not only possess technical expertise, but also excellent communication skills, both written and verbal, in order to cultivate client relationships of trust and mutual respect. This role is for a self-starter who has exceptional drive and determination and is able to manage their own workload in order to deliver excellent service efficiently and effectively.

This position follows a hybrid working pattern, incorporating a certain level of travel to client sites when required as well as at least one day a week based at our head office in Leeds city centre.

• 37.5 hours per week Monday to Friday - typically worked between 09:00 - 17:30 (16:00 Friday Finish).

Key Responsibilities

• Keeping up to date with, and understanding, relevant laws and regulations
• Monitoring client financial activities to ensure they are legal and in compliance with internal and external policies
• Investigating irregularities and non-compliance issues
• Providing guidance to individuals and firms on compliance matters
• Developing relevant compliance collateral
• Providing oversight services to firms as required
• Delivering firm audits both remotely and face-to-face
• Providing coaching and training sessions to a range of audiences through a variety of media
• Contributing to team goals
• Being an ambassador for the team and the firm
• Writing articles for weekly communication with client firms
• Assessing firms' needs and selling additional services that TFAS Compliance Service and the wider group offer
• Identifying additional services we can offer to better support the firms
• Being commercially minded
• Keeping all information on your allocated firms up to date to ensure wider business intelligence

Skills, Knowledge and Expertise

Qualifications

Essential: At least level 4

Desirable: Level 6, Pension transfer specialist

Experience

Essential: At least 5 years

Skills

• Strong communication skills
• Strong attention to detail
• Excellent interpersonal skills
• Excellent time management and organisation skills
• Ability to deliver feedback in a constructive way
• Ability to absorb a lot of information and provide clear summaries in an accessible way
• Commercially minded individual with the ability to sell additional products and services
• Problem solving

Behaviours

Our Company Behaviours are central to our culture and pivotal to our success. We're not just looking for employees; we're looking for individuals who embody our values and want to contribute to our shared mission.

Open – Relate and communicate with others, adapting your style to everyone.
Positive – Being optimistic and encouraging a positive mindset.
Professional – Exhibiting a courteous, conscientious, and business-like manner.
Leadership – Drive the company vision and positively influence those around you.
Cooperative – Work together and support each other to learn and grow.
People Focused – Delivering the best service and adding value to our clients.

What We Offer You...

• 25 days annual leave plus Bank Holidays increasing by 1 day each year after 3 years service (maximum of 5 additional days)
• 4pm Finish on a Friday
• Annual discretionary performance-related company bonus and salary review
• Private medical insurance
• 5% Employer pension contribution
• 24 hour access to our employee assistance programme with Health Assured
• Opportunities for continuous professional development
• Buying and selling annual leave scheme
• £500 refer a friend scheme
• Free mortgage advice