Retail Compliance Advisory & Monitoring – L4 Qualified with CeMAP required

JR United Kingdom; Leicester; Hybrid; GBP 50,000; Full time

Job summary

A forward-thinking compliance consultancy is seeking a Field Advisor to join their dynamic team. This role offers a blend of advisory and monitoring work, primarily home-based with significant travel across the East of England. You'll be pivotal in helping clients navigate regulatory changes and ensure compliance with industry standards. Ideal candidates will possess a Level 4 Diploma in Regulated Financial Planning and CeMAP qualification, alongside strong communication and relationship-building skills. This opportunity not only promises professional growth but also offers a competitive salary and benefits, including generous holiday leave.

Benefits

5 weeks holiday

Car allowance

Flexible working from home

Travel expenses covered

Qualifications

• Experience in a regulatory or compliance environment is essential.
• Strong relationship-building and exceptional communication skills required.

Responsibilities

• Analyze client issues and assist in problem-solving via a consultative approach.
• Produce and deliver accurate reports and action plans for compliance standards.

Skills

Regulatory Compliance

Communication Skills

Problem Solving

Relationship Building

Education

Level 4 Diploma in Regulated Financial Planning

CeMAP Qualification

Job description

Retail Compliance Advisory & Monitoring – L4 Qualified with CeMAP required

£50K + £5K Car Allowance East Midlands/South Yorks (Home based with 60% travel)

Ref:4083D

Our client, a well-known compliance consultancy, is recruiting a Field Advisor for their East of England client base. The role involves a mix of advisory & monitoring work, conducted at clients’ offices or from home depending on needs. Duties include:

1. Analyzing client issues and assisting in problem solving via a consultative approach
2. Providing support to clients during regulatory and business changes, updating firms on relevant regulatory or legislative updates during visits
3. Producing and delivering accurate reports and action plans with practical solutions to help member firms develop, monitor, and maintain compliance standards to mitigate risks
4. Ensuring effective delivery of T&C Services, including training needs analysis, skills assessments, one-to-ones, and development plans

Candidates must have a Level 4 Diploma in Regulated Financial Planning or equivalent, CeMAP qualification, and experience in a regulatory or compliance environment. Strong relationship-building and exceptional communication skills (both written and verbal) are essential.

The role requires travel up to 3-4 days per week (fuel costs covered), with the remainder WFH on a flexible basis. Benefits include 5 weeks holiday.

To apply, send your details to our MD, David Symes FCA, at [emailprotected] (including contact number). Please note that only successful applicants will be contacted. Your details will not be shared without permission.

Compliance Recruitment Solutions Limited (CRS) acts as an employment agency for this role. Applicants must be legally entitled to work in the UK. By applying, you confirm that the information provided is accurate and that you accept the terms above.