We are working with a well established financial planning firm that is looking to appoint an experienced Compliance Consultant. 

The Compliance Consultant will not only possess technical expertise, but also excellent communicate skills, both written and verbal, in order to cultivate client relationships of trust and mutual respect.  This role is for a self-starter who has exceptional drive and determination and is able to manage their own workload in order to deliver excellent service efficiently and effectively.

A certain level of travelling to client sites will be required although many of the services can also be delivered remotely.  A clean driving licence and own car would therefore be required.

Key Responsibilities:

• Keeping up to date with, and understanding, relevant laws and regulations
• Monitoring client financial activities to ensure they are legal and in compliance with internal and external policies
• Investigating irregularities and non-compliance issues
• Providing guidance to individual and firms on compliance matters
• Supporting firms to gain authorisations and permissions
• Working on projects, such as rules analysis, thematic reviews etc.
• Providing financial promotions feedback
• Complaint handling support to firms where required
• Developing relevant compliance collateral
• Providing oversight services to firms as required
• Delivering firm audits both remotely and face-to-face
• Providing coaching and training sessions to a range of audiences through a variety of media
• Contributing to team goals
• Being an ambassador for the team and the firm

Key Skills & Experience

• Proven track record in compliance roles within established financial advisory or wealth management firms
• Level 4 Diploma Financial Planning or similar level of professional qualification to the role
• Strong technical knowledge of financial planning products and services (e.g. pensions, investments, protection, tax planning)
• Strong communication skills
• Strong attention to detail
• Excellent interpersonal skills
• Excellent time management and organisation skills
• Ability to deliver feedback in a constructive way
• Ability to absorb a lot of information and provide clear summaries in an accessible way
• Ability to deliver to deadlines and to the right quality

Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.

If you would like this job advertisement in an alternative format, please contact MERJE directly.