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- Compliance Consultant
- Home Based (Ideally 1 day per week in their Yorkshire office)
- c.£60,000 + Bonus + Benefits
Our client is a successful compliance consultancy firm who offer excellent, client-focused compliance support to their partner firms across the UK. They 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.
They are looking for an experienced Compliance Consultant to join their growing team.
Role & Responsibilities:
- Provide compliance support and guidance to IFA firms, ensuring adherence to FCA regulations.
- Conduct file reviews, audits, and risk assessments to identify areas for improvement.
- Assist with regulatory reporting, policy updates, and procedural reviews.
- Deliver training sessions and workshops on compliance best practices.
- Keep up to date with regulatory changes and communicate key updates to clients.
- Support firms in responding to FCA queries and preparing for regulatory inspections.
- Develop and maintain strong client relationships, acting as a trusted compliance partner.
Do you have the following to apply?
- Qualified to Level 4 Diploma in Financial Planning (or equivalent)
- Previous Compliance experience within the wealth management industry (experience within a consultancy firm would be beneficial).
Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.
Clayton Davies is acting as an employment agency on behalf of our client.
