1 week ago Be among the first 25 applicants
This range is provided by Clayton Davies. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.
Base pay range
Direct message the job poster from Clayton Davies
Director at Clayton Davies – 07515031496 / paul@claytondavies.com
Our client is a respected name in the wealth management and IFA sector, and as part of their continued growth, they are seeking a Senior Compliance Consultant with deep expertise in due diligence and acquisitions.
This position is focused on leading and supporting the acquisition lifecycle within the wealth management sector. You will conduct compliance due diligence on target IFA firms, assess regulatory risk, and provide practical guidance to ensure smooth and compliant acquisitions and integrations.
Role & Responsibilities:
- Lead compliance due diligence for acquisitions of IFA and wealth management businesses.
- Evaluate the target firm’s regulatory history, client files, adviser conduct, T&C schemes, and systems & controls.
- Identify compliance risks and produce clear, concise reports and recommendations for buyers and stakeholders.
- Support post-acquisition integration, ensuring alignment with FCA requirements and internal compliance frameworks.
- Collaborate with legal, finance, and operational teams throughout the acquisition process.
- Stay current with FCA regulations and guidance affecting financial advice and wealth management.
Do you have the following to apply?
- Minimum 5 years of compliance experience within the IFA or wealth management sector.
- Strong track record in conducting compliance due diligence and supporting acquisitions or business sales.
- Previous management experience would be beneficial.
- Minimum Level 4 Diploma in Financial Planning (or equivalent)
Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.
Clayton Davies is acting as an employment agency on behalf of our client.
Seniority level
Seniority level
Mid-Senior level
Employment type
Employment type
Full-time
Job function
Job function
Other
Industries
Financial Services and Investment Management
Referrals increase your chances of interviewing at Clayton Davies by 2x
Get notified about new Compliance Consultant jobs in United Kingdom.
Healthcare Compliance Manager, International
London, England, United Kingdom 1 week ago
London, England, United Kingdom 1 week ago
Compliance & Privacy Officer (6-Month Fixed Term)
Part-time Compliance Manager (Wealth Management)
Senior Manager, Contracts and Compliance
Senior Compliance Manager (Remote or Hybrid – UK)
London, England, United Kingdom 1 week ago
London, England, United Kingdom 1 day ago
Internal Compliance & Accreditation Manager
Senior Manager Employee Relations & Compliance
Maidenhead, England, United Kingdom 6 days ago
Senior Director, UK Compliance Officer & MLRO
Principal Compliance Programme Manager (Physical security)
Exeter, England, United Kingdom 5 days ago
London, England, United Kingdom 2 weeks ago
We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
#J-18808-Ljbffr…