Compliance Consultant

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.

Qualified to a minimum of Level 4 Diploma in Financial Planning.

• Qualified to a minimum of Level 4 Diploma in Financial Planning
• A mortgage qualification

Compliance - Field Based

Field-based

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.

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.

• 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

• 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

• 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 engagements
• Customer‑centric mindset with a focus on delivering good client outcomes
• Strong relationship‑building and stakeholder engagement skills
• Ability to…