Compliance Consultant - Investment

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  • Salary:

    £60,000 - £65,000

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  • Published:

    over 1 year ago

Our client is a boutique Regulatory Consulting firm which provides ongoing Compliance support to a range of businesses across the IFA/Advisory/Wealth Management and Discretionary Fund Management space. Due to ongoing growth, they are looking for a dedicated Consultant to provide oversight of their London client base (around 20 clients).


Key Responsibilities


The role will be home-based with an expectation to be on client site (mainly in the London area) as and when needed and as a Compliance Consultant, you will be tasked with a broad range of duties including:


  • Day-to-day management of medium-to-complex customer accounts, with limited supervision
  • Undertaking client file audits
  • Researching and dealing with in-depth and highly technical compliance queries
  • Read and summarise important industry papers, such as policy statements and thematic review feedback
  • Creating, developing, implementing compliance policies and procedures.
  • Support on regulatory change and compliance projects
  • Review of Financial Promotions




  • Relevant Compliance/Regulatory background ideally in a Consulting capacity having supported firms in the IFA/Wealth/Advisory space
  • An ability to take ownership of a process or tasks with limited input (e.g. research projects)
  • Excellent interpersonal and influencing skills.
  • Able to work under pressure and produce results without close supervision.
  • Ability to handle heavy workload under tight timeframes and prioritise appropriately.
  • Good verbal and written presentational skills.
  • Will be supported to study for industry examinations, including relevant compliance qualifications as appropriate and achieve the Diploma in Financial Planning as the minimum standard and thereafter Chartered Financial Planning status and potentially Fellowship;
  • Will at all times work to the highest standards of professionalism, integrity and confidentiality.