Compliance Consultant

Job description

The Job

Collaborate with the Head of Compliance to develop and implement a comprehensive compliance plan, including risk-based assessments and monitoring activities.
Conduct various compliance-related tasks, such as audits and assessments focused on internal systems and controls.
Recommend and advise senior management on control improvements, ensuring ownership, accountability, and timely completion of action plans.
Provide expert guidance to stakeholders across the organization to manage conduct risks and foster a customer-centric culture.
Partner with senior leaders to ensure alignment between business objectives and regulatory requirements under relevant frameworks (e.g., SMCR).
Build and maintain positive relationships with operational teams and key stakeholders.
Assist and proactively support the Head of Compliance in managing regulatory visits, requests, and reviews, upholding high standards and strengthening regulatory relationships.

ABOUT YOU

Minimum 3 years of operational compliance experience within the financial services industry, preferably including audit experience.
Relevant qualification (e.g., Level 4 financial advisor qualification) or actively pursuing one.
Strong understanding of the regulatory landscape and emerging industry risks.
Ability to align with the organization’s long-term strategic direction and adapt monitoring/oversight procedures accordingly.
In-depth knowledge of relevant regulatory frameworks and conduct risk principles.
Up-to-date knowledge of relevant FCA Handbooks (COBS, T&C, SYSC, ICOB, MCOB)
Excellent communication, influencing, negotiation, and facilitation skills (both written and verbal).
Experience with project management and strong problem-solving, analytical, decision-making, and judgment skills.
Excellent organizational and planning skills.
Effective coaching abilities.

Why Apply?