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Compliance Consultant (part time)

Posted 2 April by Vision-FS Recruitment
Salary icon £35,000 - £40,000 per annum, pro-rata
Location icon Redhill , Surrey

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.

Application questions

Possess a strong background within T&C or Compliance?
Are you part OR fully qualified re: CII Diploma in Regulated Financial Planning?
Possess excellent communication skills?

Reference: 50741324

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