Field Based Compliance Consultant

What’s on Offer?

• Base Salary: c.£50,000 + £6K Car Allowance
• Bonus: 7%
• Holidays: 28 Days Holiday + Bank Holidays (plus your birthday off)
• Private Medical Insurance
• Field Based role (mix of home/field)
• Pension: 7%

Our client, a highly successful firm operating in the Wealth Management space, are looking for a Regulatory Consultant to assist in providing Compliance support to a list of directly authorised businesses.

Key Responsibilities:

The role of the Compliance Consultant will be to support the Compliance function in the delivery of the following requirements;

• Prepare and deliver comprehensive and practical Compliance Support Services, support to clients need and objectives, to assist with the delivery of good customer outcomes.
• Produce and deliver reports and action plans including practical solutions to specific business needs for clients to enable them to develop, monitor and maintain compliance standards.
• Provide constructive feedback to assist with the review, development and maintenance of internal documentation to enable delivery of quality services.
• Develop and maintain effective and proactive working relationships with internal and external stakeholders.
• Maintain and develop own technical and regulatory knowledge.
• Take opportunities, both reactive and proactive to assist with the development of additional services and support for clients.
• Support negotiation of Contract Renewals and management of retention risk with internal and external stakeholders.
• Actively support and engage with business projects as required by the Regulatory Manager to meet client needs and business objectives.
• To undertake ad hoc projects and duties as and when required, to support the needs of the business or to achieve departmental objectives.

Experience Required;

• Level 4 Diploma in Financial Planning or equivalent.
• J07 or equivalent qualification would be beneficial.
• Previous compliance experience in the Wealth Management space.