Compliance Consultant

Overview

We are working with a well‑established and growing compliance consultancy firm specialising in providing tailored compliance support to Independent Financial Advisers (IFAs) and wealth management businesses. Their mission is to help their clients meet their regulatory obligations with confidence, professionalism, and integrity.

As part of their continued growth, we’re seeking an experienced Compliance Consultant to join their team, supporting a diverse portfolio of clients with high‑quality, practical, and commercially focused compliance advice.

Location & Travel

Remote based with travel as/when required

Role & Responsibilities

• Deliver hands‑on compliance support and guidance to IFA/wealth management firms in line with FCA regulations.
• Conduct file reviews, risk assessments, audits, and monitoring visits (virtually and occasionally on‑site).
• Assist with policy documentation, procedures, and regulatory updates.
• Provide interpretation and advice on new regulations, such as Consumer Duty, SM&CR, and ESG‑related compliance.
• Build strong relationships with clients to become a trusted adviser and first point of contact.
• Keep up to date with regulatory changes and maintain professional development.

Qualifications

• Strong knowledge of FCA regulations, particularly within the retail investment/IFA/wealth management space.
• Minimum 3 years’ experience in a compliance role, ideally within a consultancy or directly with an IFA/wealth firm.

Additional Information

Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.

Clayton Davies is acting as an employment agency on behalf of our client.

Job Details

Seniority level: Mid‑Senior level

Employment type: Full‑time

Job function: Other

Industries: Financial Services and Investment Management

Contact

Director at Clayton Davies – /

Application Process

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