Compliance Consultant
UK Visa Sponsorship Analytics
Occupation TypeQuality assurance and regulatory professionals
Occupation Code Skill LevelHigher Skilled
Sponsorship Salary Threshold
£48,200
(£24.72 per hour)
Occupation rate applies
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Description
Department: Compliance - Field Based
Location: Field-based
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.
Essential requirements:
- Qualified to a minimum of Level 4 Diploma in Financial Planning
- A mortgage qualification
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:
1) West Midlands, East Midlands and parts of Cheshire.
2) 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 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
Essential requirements:
- Diploma in Regulated Financial Planning (or equivalent qualification)
- CeMAP (or equivalent mortgage qualification)
- 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
- 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
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.
Fintel plc and all the businesses within it adopt a zero-tolerance approach to discrimination on any of the protected grounds in the Equality Act 2010.
We are committed to providing equal opportunities to all current and prospective employees regardless of age, disability, sex, sexual orientation, pregnancy and maternity, race or ethnicity, religion or belief, gender identity, or marriage and civil partnership.
We aspire to have a diverse workforce because, in our view, diversity enables better business outcomes. We also believe that a more inclusive workplace, where people of different backgrounds work together, ensures better outcomes for all staff. From application to interview, we place inclusion at the heart of all we do.
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.
Fintel plc and all the businesses within it adopt a zero-tolerance approach to discrimination on any of the protected grounds in the Equality Act 2010.
We are committed to providing equal opportunities to all current and prospective employees regardless of age, disability, sex, sexual orientation, pregnancy and maternity, race or ethnicity, religion or belief, gender identity, or marriage and civil partnership.
We aspire to have a diverse workforce because, in our view, diversity enables better business outcomes. We also believe that a more inclusive workplace, where people of different backgrounds work together, ensures better outcomes for all staff. From application to interview, we place inclusion at the heart of all we do.