Compliance Consultant

3 weeks ago

United Kingdom Clayton Davies Full time

This is a field based role and will involve travelling within a 2 hour radius of Reading.


Salary is up to £50,000 + £6K Car Allowance + Bonus


Our client, a highly successful firm operating in the Wealth Management space, are looking for a Regulatory Consultant to assist in providing Compliance support to a list of directly authorised businesses.


Key Responsibilities:


The role of the Compliance Consultant will be to support the Compliance function in the delivery of the following requirements:


  • Prepare and deliver comprehensive and practical Compliance Support Services, support to clients need and objectives, to assist with the delivery of good customer outcomes.
  • Produce and deliver reports and action plans including practical solutions to specific business needs for clients to enable them to develop, monitor and maintain compliance standards.
  • Provide constructive feedback to assist with the review, development and maintenance of internal documentation to enable delivery of quality services.
  • Develop and maintain effective and proactive working relationships with internal and external stakeholders
  • Maintain and develop own technical and regulatory knowledge.
  • Take opportunities, both reactive and proactive to assist with the development of additional services and support for clients.
  • Support negotiation of Contract Renewals and management of retention risk with internal and external stakeholders.
  • Actively support and engage with business projects as required by the Regulatory Manager to meet client needs and business objectives.
  • To undertake ad hoc projects and duties as and when required, to support the needs of the business or to achieve departmental objectives.


Experience Required:


  • Level 4 Diploma in Financial Planning or equivalent
  • J07 or equivalent qualification would be beneficial
  • Previous Compliance experience in the Wealth Management space.

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