Back to search
Our client, a leading Financial Advice/Compliance Consultancy firm are looking for a Regulatory Compliance Consultant to support the growth of the business.
The Regulatory Compliance Consultant will not only possess technical expertise, but also excellent communicate 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 the head office in West Yorkshire.
Role 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 individual 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 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
Key Skills and Responsibilities:
- Expertise in providing support and guidance in relation to regulatory compliance.
- Be qualified in the LEvel 4 Diploma in Financial Planning (or equivalent).
- Advanced CII Qualification(s) desirable
- Strong communication skillls
- 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
Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.
If you would like this job advertisement in an alternative format, please contact MERJE directly.
