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Are you an established Compliance Consultant looking for an exciting new opportunity? We are seeking a talented individual to join our team and provide effective risk-based second line compliance services across our wealth, mortgage, and protection channels.
About the Role:
As a Compliance Consultant, you will play a crucial role in advising our Chief Risk & Compliance Officer, Channel Heads, Executive Committee, and Senior Management Team. Your expertise in the regulatory landscape and conduct risk environment will be essential in influencing change and ensuring that business owners maintain an appropriate control framework to achieve their commercial objectives.
Location:Â This is a hybrid role with 2 days per week in our Swindon office.
Benefits:
- Salary: £55,000 - £70,000
- Bonus Scheme: On target bonus – 15%
- Pension Scheme:Â Contribute up to 5% of your salary, and the company will match you and put in an extra 5%.
- Critical Illness Cover
- Income Protection:Â 1x salary
- Death in Service:Â 4x salary
- 27 Days Holiday + Bank Holidays, with the opportunity to buy up to an additional 10 days
- A range of other flexible benefits, including private medical insurance, dental insurance, and much more
Your Responsibilities Will Include:
- Supporting the Head of Compliance in developing and delivering the Compliance Plan.
- Undertaking monitoring and assurance activities, including compliance-based audits and risk assessments.
- Advising Channel Heads and the Senior Management Team on control improvement actions.
- Providing compliance consultancy to manage conduct risk and support a customer-centric culture.
- Working with senior management to balance commercial objectives with regulatory responsibilities.
- Developing effective relationships with operational management and key stakeholders.
- Managing and delivering FCA regulatory visits, requests, and thematic reviews.
What Will You Need to Succeed?
- Demonstrable operational compliance experience in the financial services industry, ideally in the Wealth space.
- Up-to-date knowledge of the regulatory landscape and emerging industry risks.
- Ability to understand the long-term strategic direction of the business.
- Good knowledge of regulatory frameworks, particularly conduct Risk and Conduct of Business Rules.
- Up-to-date knowledge of relevant FCA Handbooks (e.g., COBS, T&C, SYSC, ICOB, MCOB).
- Excellent verbal and written communication, influencing, facilitation, and negotiating skills.
- Strong problem-solving, interpretation, decision-making, and judgement skills.
- Excellent planning and organisation skills.
If you are ready to make a significant impact in the financial services industry and thrive in a dynamic environment, we would love to hear from you. Apply nowÂ
