Average Compliance Consultant salary in the UK

Our client is a wealth management business who have enjoyed a period of sustained growth and continue to have a unique and successful business model. This growth has included an increase in Financial Adviser population, and they now require a further compliance consultant in support. The compliance consultant will support their advice function with duties including the following. Carry out file reviews and maintain a log of checks undertaken:Check all documentation for completeness and consistency.Review and assess Adviser recommendations to clients for suitability, in respect of the firms discretionary managed service, ISAs, Pension, Annuity broking, Pension Transfers/Switches & Drawdown.Communicate any findings with both the Adviser and appropriate senior management (monitor and assess the remedial action to ensure satisfactory completion) Responsibility for the delivery of the Compliance Monitoring Plan (CMP):Completion of scheduled monitoring reviews in a timely manner.Identify and investigate issues and/or trends which may adversely affect the businesses ability to comply with applicable legislation and/or regulations;Produce compliance review reports for Senior Management; Follow-up activities to ensure effective remediation of issues identified from the monitoring reviews and take responsibility for the delivery of agreed corrective actions and resolution of issues where appropriate.Review and sign off literature and educational presentations against the firm's services & the FCA Financial Promotion rules.Undertake, monitor, and record anti-money laundering checks.Carry out peer checks. Assess and action all decline leads ensuring internal processes have been adequately met and ICO regulations adhered to.Assist with other operational duties as necessary. Being passionate and demonstrate behaviours in line with the Company’s ethos, vision, and key principles. Candidate Requirements: Certificate in Financial Planning or equivalent. RO4 or equivalent. *Working towards or willing to work towards attaining the Diploma in Financial Planning or equivalent. Investment & pensions experience within the financial services industry. Candidates with transferrable skills, i.e., Paraplanners or ex Advisers The Rewards A negotiable basic salary together with an employee benefits package. In addition, our client employees enjoy a great working environment from a supportive employer.

London Based Trading firm seek a Contract Compliance Advisor to ensure the firm's business is conducted in an appropriate manner and in accordance with FCA Handbook, Financial Services and Markets Act 2000, Exchange Rules, Company Policy and other applicable regulations ideally within Securities (securities, futures, options etc). Understanding and previous involvement with EMIR and MiFIR Transaction Reporting. Desirable knowledge and experience of UnaVista and Transaction/Regulatory reporting. This is not a COBT / FinCrime / KYC / AML role. 6 months initially £400 per day PAYE (including holiday and pension) 5 days a week in the office. This is project based review/audit/investigation requests from Exchanges and Regulators. FATCA and CRS Audit and Advisory; ad hoc tax projects. Research in relation to keeping up to date on financial regulatory developments. Monitoring and problem solving with regards to MiFIR transaction reporting. Monitoring and problem solving with regards to EMIR reporting. Maintaining accurate records and data in conjunction with regulatory reporting. Reporting to Exchanges and Regulatory bodies, regarding large positions reporting and client identification reporting (IDs and Forms: 40, 102, 304). Annual and ad hoc Information Requests from Exchanges and other bodies Please note you will receive an automated response advising you that we have received your CV. Morgan Philips Group is a global talent solutions business that disrupts conventional thinking in executive search, recruitment and talent consulting. We operate in over 18 markets in Europe, North & South America, Asia, and the Middle East & Africa. We understand that the future is digital and social, so we embrace the latest technology, including video ads and CVs, as well as social recruiting. Our innovative services are tailored to the new world of work yet we do not lose sight of the fact that employees be they existing and potential are ultimately human beings. We are committed to ensuring that all job applicants are treated equally, without discrimination because of gender, sexual orientation, marital or civil partner status, gender reassignment, race, colour, nationality, ethnic or national origin, religion or belief, disability or age.

COMPLIANCE CONSULTANT CENTRAL LONDON UPTO £60,000 + GREAT CULTURE + PROGRESSION THE OPPORTUNITY: Get Recruited are recruiting on behalf of a fast growing financial services firm who provide regulatory hosting to businesses. Our client are looking for a Compliance Consultant to join their friendly outgoing team. This is a great opportunity for someone with compliance experience and In-depth knowledge of FCA rules and regulations. Great opportunity for someone from a Regulatory hosting, regulatory compliance, compliance officer, compliance specialist, senior compliance officer or similar role. THE ROLE: Develop, update, and enforce compliance policies and proceduresResponding to AML queriesOngoing compliance monitoring activitiesCompleting gap analyses and enhancing controls where requiredReviewing and updating training materialsAssistance with compliance questions from appointed representatives, staff members and wider team THE PERSON: This is a great opportunity for someone from a Compliance Officer, Senior Compliance, Compliance Manager, Regulatory Compliance, Regulatory Hosting or similar role.3 plus years compliance experience preferably regulatoryRegulatory Hosting experience is a bonusIn-depth knowledge of FCA Rules and regulationsStrong communication skills both written and verbalHigh attention to detail and strong organisation skills TO APPLY: To apply for the Compliance Consultant role, submit your CV via the advertisement for immediate consideration. Get Recruited is acting as an Employment Agency in relation to this vacancy.