Compliance Consultant

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

About The Role

This is a field-based role with a hybrid element, supporting our Member Firms (IFAs and Mortgage Advisers) primarily in Yorkshire, Lincolnshire, the East Midlands, and Lancashire.

While you'll mainly work within your designated region, occasional support outside your area may be required based on business needs. Ideally, you will be based in or near one of the regions listed.

You will deliver compliance support either on-site at client premises or remotely from home. As a key member of the Consultancy Services Team, you will help firms develop, monitor, and maintain their regulatory standards—providing pragmatic, bespoke solutions to mitigate business risk.

Key Responsibilities

• Manage the timely delivery of an allocation of compliance visits
• Build and maintain strong, professional relationships with client firms
• Develop tailored programmes of services and visits, ensuring effective planning and time management
• Analyse regulatory challenges and provide consultative solutions
• Guide firms through regulatory and business changes, sharing updates during visits
• Produce detailed, accurate reports and action plans with practical, actionable recommendations
• Deliver Training & Competence (T&C) services, including training needs analyses, skills assessments, and one-to-one development plans
  
  

What You'll Bring (Must Have)

• Diploma in Regulated Financial Planning (or equivalent)
• CeMAP (or equivalent)
• Proven experience in a compliance or regulatory role
• In-depth knowledge of the IFA and Mortgage markets, including providers/lenders
• Broad technical knowledge across financial product areas
• Strong customer focus and a consultative mindset
• Excellent communication skills (written and verbal)
• Strong relationship-building and collaboration skills
• Outstanding organisational and time management abilities
• Confidence working independently in a remote setting
• A passion for solving problems and delivering practical compliance solutions
• Experience delivering presentations and leading productive client meetings
  
  

Desirable (Nice to Have)

• G60, AF3 or AF7 qualifications
• J10 qualification or knowledge of the DFM/DIM market
  
  

If you're passionate about compliance, enjoy working with diverse firms, and thrive in a dynamic, supportive environment, we’d love to hear from you.