Compliance Consultant

Key Responsibilities:

• Provide day-to-day regulatory consultancy and compliance support to clients, including audits and file reviews
• Handle complex and technical compliance queries across the retail investment space
• Draft technical papers and contribute to the development of manuals, toolkits, and internal guidance
• Support and manage multiple client projects, ensuring quality, efficiency, and timely delivery
• Build strong client relationships, acting as a trusted adviser and key point of contact
• Keep up to date with regulatory developments and support clients with implementation of regulatory change
• Support project delivery, including oversight, task delegation, and mentoring junior team members
• Attend client sites as required and work flexibly to meet business and client needs

Key Qualifications & Experience:

• Strong background in financial services compliance or regulatory consultancy
• Detailed understanding of the retail investment sector, including Discretionary Fund Management and Retail Financial Advisers
• Working knowledge of FCA regulation, including MiFID II, MiFIDPRU, SM&CR, and COBS
• Diploma in Financial Planning (or equivalent) required
• Advanced CII qualifications desirable
• Experience supporting FCA applications advantageous
• Excellent written and verbal communication skills, with strong attention to detail
• Full UK driving licence required

Please note: Due to the volume of applications, if you do not receive feedback within 28 days, your application may be considered unsuccessful. However, you may be contacted regarding similar opportunities.

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