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Compliance Consultant – Field Based (Wealth)

  • Location: United Kingdom
  • Salary: £50,000 + £4500 Car Allowance + package per year
  • Job Type:Permanent

Posted 7 days ago

  • Sector: Compliance
  • Contact: Paul Clayton
  • Expiry Date: 20 February 2023
  • Job Ref: PC/20005

​Our client is a successful financial services organisation looking for a field based Compliance Consultant to work effectively and efficiently to deliver a market leading proactive compliance consultancy service to directly authorised firms. To identify opportunities and trends and to deliver a quality service to clients / members ensuring compliance standards are enhanced, risks mitigated and value added.


• Create and maintain effective relationships with Clients / Members, increasing knowledge and understanding of their business

• Represent the group at all times in a professional manner with external and internal clients

• Create and deliver an appropriate programme of visits to meet the requirements of firms through effective planning, organisation and time management

• Provide consultative support to Client / Member Firms to ensure relevant, practical compliance solutions are provided to assist with firm risk management

• Provide support to clients / members during times of regulatory change and update firms of any current relevant regulatory and / or legislative changes during visits

• Produce and deliver accurate reports and action plans in a timely manner to provide clear, practical solutions to specific business needs for clients / members to enable them to develop, monitor and maintain compliance standards to mitigate risks within their business

• Conduct file reviews if / when required whilst onsite, or remotely in line with group business requirements and policy

• Ensure delivery of T&C Service with effective delivery of training needs analysis, skills assessments, one to ones and development plans

• Support and promote group events by participating in preparation and delivery of training presentations and / or meetings as required

Key Requirements:

• Previous experience working in a regulatory / compliance environment

• Knowledge of IFA markets (including provider / lenders)

• Broad technical knowledge across all product areas

• Minimum Level 4 qualification essential and mortgage qualification desirable

• G60, AF3 or AF7 Pension Transfers qualification desirable or prepared to study for and attain the AF7 qualification.

• You will be detail-oriented, pragmatic and work with a high degree of common sense.

• Good communication and report writing skills.