COMPLIANCE CONSULTANT - FINANCIAL PLANNING / WEALTH MANAGEMENT
Manchester / Remote
£55,000 + Benefits + Bonuses
Our client is an AIM listed Service Provider to many of the UK's leading Financial Advisors. Providing compliance support for over 400 directly regulated firms, ranging from large UK-wide advisory firms to smaller Investment, Mortgage and Protection businesses. This is an exciting opportunity for a Compliance Manager to join part of the Senior Management Team. The role is high-profile and requires a credible, professional, and intelligent individual.
The main focus of this role will be to lead and manage the Consultancy team, providing personal and bespoke compliance support to subscribed firms.
Responsibilities
* Carry out background research of firms through FCA website search, recent technical helpdesk contacts or enquiries, and other recent contacts such as last visit reports, file reviews, or financial promotions reviewed.
* Agree a clear agenda for visits, highlighting and prioritising activities in line with the firm's requirements.
* Explain and assist firms in adopting up-to-date compliance systems and procedures, for example following a recent compliance update.
* Assess existing behaviours and practices against current regulatory legislation and best practice.
* Perform quality assurance checks of audit and compliance reports.
* Conduct regular 1‑to‑1 meetings with the team to support skill and knowledge development.
* Maintain up‑to‑date compliance guidance and support for the team.
* Work closely with the Policy team to produce compliance update material.
* Support the Heads of Consultancy and Proposition with project work, develop compliance propositions and solve compliance issues with practical solutions, delivered hands‑on.
Qualifications
* Exceptional written and verbal communication skills.
* Comfortable challenging the status quo to ensure an outstanding customer journey.
* Level 4 Qualified, ideally working towards Level 6.
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