Compliance Consultant
Compliance Consultant Annual Salary: Competitive + benefitsLocation: Office Based / Remote (with flexibility for nationwide travel)Job Type: Full-time We are recruiting on behalf of a prominent financial services group known for its comprehensive range of services including mortgage, pension, investment, and protection advice. We are looking for a Compliance Consultant to ensure that all financial advisers and mortgage brokers meet regulatory competency standards while maintaining the highest levels of professionalism. This role involves overseeing the Training & Competency framework across various locations in the UK. Day-to-day of the role: Implement and maintain a FCA-compliant Training & Competency (T&C) scheme across the organisation.Conduct coaching, observations, and competency assessments for advisers and brokers.Perform reviews to ensure advice suitability and adherence to regulatory standards.Identify training needs and deliver tailored programs to enhance adviser capabilities.Maintain Continual Professional Development (CPD) records.Deliver compliance training annually to all staff and advisers.Monitor performance indicators to proactively address training needs.Support audit and regulatory review processes with detailed reporting.Foster strong relationships within the team and across the organisation. Required Skills & Qualifications: Proven experience in a T&C, compliance, or supervisory role within the financial services sector.Familiarity with FCA regulations and T&C schemes.Qualification in Financial Planning (Level 4 Diploma or equivalent preferred).Knowledgeable in various financial sectors including pensions, investments, mortgages, and protection.Skilled in conducting reviews, coaching, and compliance monitoring.Proficient in CRM systems, with a preference for experience in Intelliflo or similar platforms.Excellent communication skills, with the ability to influence and guide team members.High ethical standards and integrity.Well-organized, proactive, and able to manage multiple tasks efficiently. Benefits: Competitive pension scheme.Death in service benefit.Private medical insurance.Dynamic and supportive work environment.Opportunities for extensive travel and professional development. To apply for the Compliance Consultant position, please submit your CV.
read more