Compliance Consultant
CAN BE BASED ANYWHERE IN THE UKWe are working with a well-established and growing compliance consultancy firm specialising in providing tailored compliance support to Independent Financial Advisers (IFAs) and wealth management businesses. Their mission is to help their clients meet their regulatory obligations with confidence, professionalism, and integrity.As part of their continued growth, we're seeking an experienced Compliance Consultant to join their team, supporting a diverse portfolio of clients with high-quality, practical, and commercially focused compliance advice.Role & Responsibilities:Deliver hands-on compliance support and guidance to IFA/wealth management firms in line with FCA regulations.Develop a deep understanding of each firm’s structure, activities, and risk profileProvide clear, pragmatic regulatory guidance on day-to-day and strategic mattersHandle regulatory queries efficiently via phone and email support channelsAssist firms with regulatory reporting, returns, and ongoing FCA obligationsIdentify, investigate, and support resolution of compliance issuesPerform compliance reviews, audits, and oversight assessments (remote and onsite)Draft and review compliance policies, procedures, and supporting documentationDeliver training sessions, workshops, and webinars for clientsSupport Senior Managers and Certification Regime (SM&CR) requirementsAssist with policy documentation, procedures, and regulatory updates.Build strong relationships with clients to become a trusted adviser and first point of contact.Keep up to date with regulatory changes and maintain professional development.Do you have the following to apply? Minimum 4 years’ experience in a compliance role, ideally within a consultancy or directly with an IFA/wealth firm.Minimum Level 4 qualified (or equivalent)Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.Clayton Davies is acting as an employment agency on behalf of our client.
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