Regulated Senior Compliance Consultant CII DipPFS (North of England - remote)

Candidate Requirements:

• Must have current/recent client facing (IFA Firm) experience
• Have existing knowledge /experience of Discretionary Fund Management & Retail Financial Advisers
• Have a comprehensive knowledge of FCA Handbook
• Have a thorough understanding of current market regulatory requirements
• Knowledge of discretionary investment management desirable
• Excellent attention to detail and ability to identify errors, discrepancies, and potential compliance risks
• Be an independent thinker and good team player
• Possess excellent communication and consultancy skills
• Operate at client offices or from home
• Be required to work flexibly to cater for the needs of the business and clients
• Willing to work away from home, including overnight stays
• Hold a full UK driving licence and own a suitable vehicle
  
  

Benefits:

• Performance bonus
• Matched pension
• Private Medical
• Death in Service

Role:

A leading compliance consultancy specialising in providing comprehensive solutions to financial institutions and investment firms, are seeking an experienced and motivated Senior Compliance Consultant. This is a remote role with the individual residing in the Yorkshire area.

Possessing expertise in regulatory compliance and risk management, they help clients navigate complex industry requirements and ensure adherence to best practices. The firm values integrity, professionalism and client satisfaction.

As a Senior Compliance Consultant, you will play a pivotal role in advising clients on regulatory compliance matters, designing robust compliance programs and ensuring adherence to best practices. Your expertise, leadership skills and in-depth knowledge of regulatory requirements, will be instrumental in guiding clients to achieve compliance excellence.

Responsibilities:
· Undertake day to day client management including supportive consultancy, firm audits & file checks
· Provide expert advice and guidance to clients on regulatory compliance requirements, industry standards, and best practice
· Deal with in-depth and highly technical compliance queries
· Be required to read and summarise important industry papers
· Be able to draft internal technical papers and contribute to manual/toolkit development

Qualifications:

• Hold Diploma in Financial Planning (or equivalent)
• Advanced CII Qualification(s) (or equivalent) desirable
• Pension transfer qualification desirable
  
  

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