Compliance Consultant

Greater London, England, United Kingdom

12/23/2024

We’re looking for a proactive, energetic, and talented professional with first class communication and relationship-building skills, looking to take the next step within their compliance career, to join our team of Field Based Compliance Consultants, delivering a market leading compliance service to directly authorised adviser firms.

This is a primarily a field-based role with a hybrid element, supporting our Member Firms (IFA's / Mortgage Advisers) in the East Midlands, Nottingham or Northants areas. Support may also be required outside of the assigned geographical area depending on the operational needs of the business. Ideally, you will reside in or around the East Midlands region. You'll deliver compliance support services to our client firms on their premises or remotely, from home, as agreed with the firm.

As an integral member of the Consultancy Services Team, you’ll ensure we provide business and compliance solutions to the firms we support, helping them develop, monitor, and maintain regulatory standards to mitigate risks within their business.

You’ll be motivated and disciplined. You’ll have a breadth of technical compliance and industry knowledge and you’ll be passionate about compliance. You’ll also be happy working both individually and as part of a team. You’ll be comfortable problem solving, delivering bespoke compliance services, drafting and finalising detailed, accurate reports, action plans and delivering T&C Services where relevant.

What You'll Be Doing

• Managing the delivery of an allocation of compliance visits within their contracted timescales
• Developing and maintaining robust relationships with our clients and Member Firms, increasing knowledge and understanding of their business
• Creating and delivering an appropriate programme of services and visits to meet the requirements of firms through effective planning, organisation, and time management
• Analysing client issues and assisting in problem solving via a consultative approach
• Providing support to clients during times of regulatory and business change and updating firms of any relevant regulatory and / or legislative changes during visits
• Producing and delivering accurate reports and action plans to provide clear, practical solutions to specific business needs for member firms to enable them to develop, monitor and maintain compliance standards to mitigate risks within their business
• Ensuring delivery of T&C Services with effective delivery of training needs analysis, skills assessments, one to ones and development plans
  
  

What You Must Have To Succeed

• Diploma in Regulated Financial Planning or equivalent qualification
• CeMAP or equivalent qualification
• Experience working in a regulatory / compliance environment
• Knowledge of IFA and Mortgages markets, including providers / lenders
• Broad technical knowledge across all product areas
• You’re customer centric to the core
• Strong relationship building and collaboration skills
• Exceptional communication skills, both written and verbal
• Excellent time management and organisation skills
• Comfortable working under pressure
• A passion for problem-solving and building solutions
• Capable of creating and delivering compelling presentations and running efficient and productive meetings
• The ability to work efficiently and independently within an agile, remote working environment
  
  

Nice to haves

• G60, AF3 or AF7 qualifications
• Knowledge of DFM / DIM markets (J10)
  
  

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.

For these reasons we strongly encourage suitably qualified applicants from a wide range of backgrounds.