Compliance Consultant
Department: Compliance - Field Based
Employment Type: Permanent - Full Time
Location: Field-based
Reporting To: Compliance Development Management Team
Description
We are seeking 2 proactive and highly motivated Compliance Consultants with strong technical expertise and exceptional relationship management skills to support directly authorised financial advice and mortgage firms.
Role Overview
The role involves delivering high‑quality, risk‑based compliance consultancy services, helping firms interpret and implement regulatory requirements, including Consumer Duty, to ensure good client outcomes, effective governance, and robust risk management frameworks.
As an integral member of the Consultancy Services Team, you will provide tailored business and compliance solutions to member firms, enabling them to develop, monitor and maintain regulatory standards while mitigating conduct and operational risks.
Location details
These are field‑based roles with a hybrid element, supporting member firms (IFAs and Mortgage Advisers). We are looking for 2 Compliance Consultants, 1 to cover each of the following areas:
- West Midlands, East Midlands and parts of Cheshire.
- Taunton, Exeter, Devon
Occasional travel outside these regions may be required to meet business needs.
Support will be delivered both on‑site at client premises and remotely, as agreed with individual firms. Ideally, candidates will reside within or close to the regions outlined above.
What you’ll do
- Deliver a programme of risk‑based compliance visits in line with contracted service levels and timescales
- Build and maintain strong, trusted relationships with Member Firms, developing a deep understanding of their business models, risks, and advice processes
- Provide tailored, consultative compliance guidance to help firms meet FCA regulatory expectations
- Support firms in embedding and evidencing Consumer Duty outcomes, including fair value, customer understanding, and ongoing monitoring
- Identify regulatory and conduct risks, providing clear, pragmatic recommendations and appropriate escalation where necessary
- Produce accurate, high‑quality compliance reports and action plans that offer practical solutions to identified issues
- Provide timely updates on regulatory and legislative developments and their practical implications for firms
- Deliver Training & Competence (T&C) services, including: training needs analysis, skills and competence assessments, one‑to‑one coaching and feedback and development plans and competence sign‑off support
- Assist firms during periods of regulatory or business change, ensuring continued compliance and good client outcomes
- Contribute to thematic reviews, root cause analysis and trend identification to enhance consultancy services
- Support continuous improvement of internal compliance frameworks and consultancy methodologies
Regulatory & Risk Responsibilities
- Provide robust and constructive challenge where regulatory risks or poor customer outcomes are identified
- Support firms in maintaining effective compliance monitoring and governance arrangements
- Promote high standards of conduct risk awareness and mitigation
- Ensure all consultancy activity aligns with FCA principles, Consumer Duty requirements, and best practice guidance
- Maintain up‑to‑date knowledge of regulatory developments affecting financial advice and mortgage markets
What you’ll need to succeed:
Essential requirements: Diploma in Regulated Financial Planning (or equivalent qualification)
- CeMAP (or equivalent mortgage qualification)
- Experience working within a financial services compliance, regulatory or supervisory environment
- Strong knowledge of IFA and mortgage markets, including key providers and lenders
- Broad regulatory and technical knowledge across advised product areas
- Excellent written and verbal communication skills with the ability to deliver clear, practical guidance
- Strong organisational and time management skills with the ability to manage multiple client engagementsCustomer‑centric mindset with a focus on delivering good client outcomes
- Strong relationship‑building and stakeholder engagement skills
- Ability to work independently and effectively within an agile, remote and field‑based environment
Desirable requirements:
- Advanced qualifications such as G60, AF3 or AF7
- Knowledge of Discretionary Fund Management (DFM/DIM) markets (e.g. J10)
- Experience delivering Training & Competence supervision and assessments
- Experience supporting directly authorised firms within a consultancy or network environment
Your approach to work:
- Proactive, self‑motivated and highly disciplined, with the ability to manage priorities independently
- Demonstrates a genuine commitment to compliance excellence and positive customer outcomes
- Strong analytical mindset with the ability to assess risk and develop practical, proportionate solutions
- Collaborative team player who is equally confident working autonomously in a field‑based environment
- Professional, pragmatic and commercially aware approach to delivering compliance support and constructive challenge
- Highly punctual and reliable, demonstrating strong organisational skills and respect for client commitments
- Consistently maintains a high level of professionalism, integrity and credibility when representing the organisation
Important to know:
Right to Work:
Applicants must already hold a legal right to work in the UK without time restrictions and without the need for future sponsorship. We are unable to provide Skilled Worker visa sponsorship.
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