⭐️ Compliance Consultant
Hybrid based – 25% of the role will involve visiting firms
c.£60,000 + Excellent Benefits
We’re looking for a knowledgeable and proactive Compliance Consultant to support and oversee a network of appointed firms and advisers operating in the mortgage and protection sector.
This role is focused on ensuring partner firms operate with robust governance, effective controls, and in line with regulatory expectations. You’ll play a key role in safeguarding customer outcomes by identifying risks early, providing guidance, and supporting firms to continually improve.
You’ll act as a trusted adviser, balancing oversight with support—helping businesses grow responsibly while maintaining high compliance standards
Role & Responsibilities:
- Support new firms as they join the network, ensuring a smooth and well‑structured setup
- Review business activities, processes, and controls to assess regulatory readiness
- Identify potential risks at an early stage and ensure these are addressed appropriately
- Work alongside internal teams to help advisers meet required competency standards
- Deliver proportionate, risk-based oversight across a range of firms
- Review performance data and indicators to identify trends or emerging risks
- Carry out targeted reviews, audits, and assessments where necessary
- Act as a trusted point of contact for compliance-related guidance
Do you have the following to apply? ✅
- Must have CeMAP (or equivalent)
- Holding Advanced financial planning or supervision qualifications would be beneficial
- Background in a compliance, supervision, or oversight role within financial services
- Experience carrying out reviews or audits and managing follow-up actions
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.
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