Compliance Consultant
Job Title: Compliance Consultant
Industry: Financial Planning
Location: West Midlands
Salary: £35,000 – £50,000
Job Reference: 7970
Job Description:
Recruit UK is working on an attractive and unique field-based Compliance Consultant role, in the West Midlands.
As a Compliance Consultant, you will be responsible for ensuring compliance within the designated wealth management offices in your patch. This is a hybrid role, allowing you to work from home and travel to clients’ offices as required.
Working Schedule:
Traditionally, this role involved visiting clients from Monday to Thursday, with Friday designated as an administrative home day.
You will be traveling around the West Midlands, visiting various wealth management companies and IFAs and assisting with their compliance functions.
Duties as a compliance consultant will involve, but not be limited to:
- Conduct file checks to ensure adherence to compliance standards
- Address client compliance queries and provide appropriate guidance
- Review and update in-house procedures to maintain regulatory compliance
- Deliver training sessions to advisers on compliance-related matters
- Review Continuing Professional Development (CPD) activities of advisers
- Compile management information and generate reports
- Perform annual audits to identify and mitigate compliance risks
What’s in it for you?
- Salary negotiable dependent on skills and experience Up to £50,000
- Pension contribution
- 4x life cover
- Travel costs covered
- 25 days of annual leave plus bank holidays plus a bonus day off for your birthday
- Summer annual party
- Various team nights out
- The laptop and phone provided
- Field-based role/home-based
- The laptop and phone provided
- Full coverage of expenses
Skills and experience required:
- Level 4 Financial Planning Diploma
- Previous file reviewing experience within an IFA/wealth management firm
- Compliance experience
- Attention to detail
About Recruit UK:
As specialists in financial services recruitment, we bring unique expertise, insight, and connections, whether you are looking for a new job or are trying to fill a role. We have a reach of more than 100,000 financial services connections. Right now, Recruit UK is pleased to be working with an Independent Financial Advice firm looking for a field-based compliance consultant, to cover the West Midlands region.
Our commitment to you:
- Start every journey with a conversation to find out about you in-depth.
- Provide honest feedback on where you fit in the job market.
- Use our network across the financial world to match you to your perfect position. Or if we think you already have it, we’ll tell you.
- Take a holistic mindfulness approach – career happiness is rarely just about the money.
- Cover the whole of the UK with a local touch through our regional teams.
- Never pester you.