A rapidly expanding financial servies firm in the regulatory and compliance sector is seeking an experienced Compliance Consultant to join its growing team.

The organisation supports a wide range of financial services firms, from start-ups to established market leaders – helping them navigate an increasingly complex regulatory landscape. Due to continued growth, they are looking to appoint an experienced individual to deliver high-quality regulatory consultancy and compliance support to investment and retail advice clients.

This role offers the opportunity to work on varied and engaging client projects, build strong client relationships, and contribute to the ongoing growth and development of the consultancy offering.

Key Responsibilities:

• Provide day-to-day regulatory consultancy and compliance support to clients, including audits and file reviews

• Handle complex and technical compliance queries across the retail investment space

• Draft technical papers and contribute to the development of manuals, toolkits, and internal guidance

• Support and manage multiple client projects, ensuring quality, efficiency, and timely delivery

• Build strong client relationships, acting as a trusted adviser and key point of contact

• Keep up to date with regulatory developments and support clients with implementation of regulatory change

• Support project delivery, including oversight, task delegation, and mentoring junior team members

• Attend client sites as required and work flexibly to meet business and client needs

Key Qualifications & Experience:

• Strong background in financial services compliance or regulatory consultancy

• Detailed understanding of the retail investment sector, including Discretionary Fund Management and Retail Financial Advisers

• Working knowledge of FCA regulation, including MiFID II, MiFIDPRU, SM&CR, and COBS

• Diploma in Financial Planning (or equivalent) required

• Advanced CII qualifications desirable

• Experience supporting FCA applications advantageous

• Excellent written and verbal communication skills, with strong attention to detail

• Full UK driving licence required

Please note: Due to the volume of applications, if you do not receive feedback within 28 days, your application may be considered unsuccessful. However, you may be contacted regarding similar opportunities.

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