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Our client, a successful compliance consultancy firm operating in the wealth management space, are looking for a Compliance Consultant to join the business. You will join a successful team of Field Based Compliance Consultants, delivering a market leading compliance service to directly authorised adviser firms. You'll deliver compliance support services to our client firms on their premises or remotely, from home, as agreed with the firms.
Key Responsibilities:
- Managing the delivery of an allocation of compliance visits within your contracted timescales
- Developing and maintaining robust relationships with their clients and Member Firms, increasing knowledge and understanding of their business
- Creating and delivering an appropriate programme of services and visits to meet the requirements of firms through effective planning, organisation, and time management
- Analysing client issues and assisting in problem solving via a consultative approach
- Providing support to clients during times of regulatory and business change and updating firms of any relevant regulatory and / or legislative changes during visits
- Producing and delivering accurate reports and action plans to provide clear, practical solutions to specific business needs for member firms to enable them to develop, monitor and maintain compliance standards to mitigate risks within their business
- Ensuring delivery of T&C Services with effective delivery of training needs analysis, skills assessments, one to ones and development plans
Experience Required:
- Be qualified in the Diploma in Financial Planning (or equivalent)
- CeMAP or equivalent
- Experience working in a compliance environment within the wealth management space
