Senior Compliance Consultant – Investments & Wealth

Location: Candidates must be based within the North West, North East, Yorkshire or Midlands regions with occasional travel to client sites required.

Salary: Up to £68,000 + Bonus & Excellent Benefits (dependent on experience)

Job Type: Permanent

The Opportunity

We’re working with a growing financial services consultancy to recruit a Senior Consultant into its Investments & Wealth team.

This is an excellent opportunity for an experienced compliance professional with a background in retail investments and wealth management to join an established consultancy supporting a diverse portfolio of financial services clients.

The role offers the opportunity to work across a varied range of client engagements, providing practical regulatory advice, undertaking compliance reviews and audits, and supporting firms with wider regulatory projects. You’ll also play an important role in developing client relationships, supporting junior colleagues and contributing to the continued growth of the team.

The Role

Responsibilities will include:

• Managing a portfolio of client relationships and acting as a trusted compliance adviser.
• Undertaking client audits, compliance reviews and suitability file checks.
• Providing technical advice and guidance on complex regulatory and compliance matters.
• Supporting clients with regulatory projects, business change and the implementation of regulatory requirements.
• Drafting technical papers, reports, policies and procedures, as well as contributing to internal guidance and toolkits.
• Identifying regulatory risks, making practical recommendations and supporting clients with remediation where required.
• Managing multiple client engagements, ensuring work is delivered accurately and within agreed deadlines.
• Supporting project delivery, including overseeing work, delegating tasks and carrying out quality assurance.
• Mentoring and developing junior members of the team.
• Keeping up to date with relevant FCA regulatory developments and their impact on clients.

About You

To be considered, you’ll ideally have:

• Strong experience within financial services compliance, ideally gained within a consultancy, wealth management or retail investments environment.
• A detailed understanding of the retail investments sector, including Discretionary Fund Management and retail financial advice.
• Good working knowledge of the FCA Handbook, particularly COBS, MiFID II, MiFIDPRU and SM&CR.
• Experience undertaking compliance audits, suitability reviews and providing technical regulatory advice.
• The ability to manage client relationships and multiple projects independently.
• Strong written communication skills, with experience producing technical reports and regulatory documentation.
• A Diploma in Financial Planning (DipPFS) or equivalent qualification.
• Advanced CII qualifications would be advantageous.
• Experience supporting FCA applications through to completion would also be beneficial.
• A full UK driving licence.

Location & Travel

This is a remote-based position, with occasional travel to client sites required. Overnight stays may sometimes be necessary depending on client requirements.

What's on Offer?

• Competitive salary and benefits package.
• 25 days' annual leave.
• Company pension scheme.
• Remote working.
• Exposure to a varied portfolio of financial services clients and projects.
• Ongoing professional development and the opportunity to progress within a growing consultancy.
• A supportive team environment with regular social events.

Interested?

If you're an experienced compliance professional looking to take the next step in your career and broaden your exposure across the investments and wealth management sector, we'd love to hear from you.

Apply today or get in touch for a confidential discussion.