Compliance Consultant (part time)

Position: Compliance Consultant (part time position/3 days per week)

Location: Redhill, Surrey

Minimum Requirements:

• A strong background within Training & Competence and Compliance;
• Possesses a strong understanding of FCA rules & regulations;
• Part OR fully qualified in CII Diploma in Regulated Financial Planning;
• Ideally has either H15, JO7 or AF6;
• Possesses excellent communication and relationship-building skills

Salary/package: £40,000 (£24,000 pro rata/22.5 hours per week) + bonus + 27 days' annual leave + pension (5%, 5%) + healthcare + various other benefits.

YOUR NEW COMPANY

Our client is a Top 10 Chartered Financial Planner & Employee Benefits firm, based near Redhill, Surrey. This award-winning business has a new requirement for a Compliance Consultant to join it's expanding Compliance team. The role has been created due to a large increase in business and headcount. The Compliance Consultant opportunity is a 3-day-per-week, part-time position.

THE ROLE

Reporting to the Head of Compliance, the Compliance Consultant's main purpose is to supervise the firm's T&C practices across both the regulated businesses alongside the training and development of the company's advisers. The Compliance Consultant's key duties will include:

• Ability to evaluate the performance of the firm’s advisers through assessments, observations and analysis and prepare reports of the findings
• Conducting file reviews
• Monitoring the annual renewals of the statement of Professional Standings for all regulated advisers
• Responsibility for onboarding new advisers
• Preparation and agreement of annual personal development plans
• Sourcing of relevant training courses
• A strong understanding of relevant laws, regulations and industry best practice in relation to T&C supervision
• Monitoring and Interpreting proposed and actual changes to FCA regulations and laws
• Develop and maintain comprehensive written policies and procedures that align with regulatory T&C requirements

REQUIREMENTS

Candidates interested in the the Compliance Consultant vacancy will require the following:

• A strong background within T&C or Compliance
• Possesses a strong understanding of FCA rules & regulations
• Part OR fully qualified in CII Diploma in Regulated Financial Planning
• Ideally has either H15, JO7 or AF6
• Possesses excellent communication and relationship-building skills

REMUNERATION / PACKAGE

The package for the Compliance Consultant vacancy is as follows:

• Salary up to £40,000 (£24,000 pro rata for 22.5 hours per week across 3 working days)
• Annual bonus
• 27 days' annual leave
• Pension (5%, 5%)
• Healthcare
• Various other benefits.

Next steps:

If you are happy to apply for this position, please click on the Apply button and attach an updated copy of your CV.