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 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)
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