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Compliance Consultant
Compliance Consultant
Compliance Consultant
Posted 8 days ago
- London, Greater London
- Any
- External
This is a field based role and will involve travelling within a 2 hour radius of Reading.
Salary is up to £50,000 + £6K Car Allowance + Bonus
Our client, a highly successful firm operating in the Wealth Management space, are looking for a Regulatory Consultant to assist in providing Compliance support to a list of directly authorised businesses.
Key Responsibilities:
The role of the Compliance Consultant will be to support the Compliance function in the delivery of the following requirements:
Prepare and deliver comprehensive and practical Compliance Support Services, support to clients need and objectives, to assist with the delivery of good customer outcomes.
Produce and deliver reports and action plans including practical solutions to specific business needs for clients to enable them to develop, monitor and maintain compliance standards.
Provide constructive feedback to assist with the review, development and maintenance of internal documentation to enable delivery of quality services.
Develop and maintain effective and proactive working relationships with internal and external stakeholders
Maintain and develop own technical and regulatory knowledge.
Take opportunities, both reactive and proactive to assist with the development of additional services and support for clients.
Support negotiation of Contract Renewals and management of retention risk with internal and external stakeholders.
Actively support and engage with business projects as required by the Regulatory Manager to meet client needs and business objectives.
To undertake ad hoc projects and duties as and when required, to support the needs of the business or to achieve departmental objectives.
Experience Required:
Level 4 Diploma in Financial Planning or equivalent
J07 or equivalent qualification would be beneficial
Previous Compliance experience in the Wealth Management space.
Salary is up to £50,000 + £6K Car Allowance + Bonus
Our client, a highly successful firm operating in the Wealth Management space, are looking for a Regulatory Consultant to assist in providing Compliance support to a list of directly authorised businesses.
Key Responsibilities:
The role of the Compliance Consultant will be to support the Compliance function in the delivery of the following requirements:
Prepare and deliver comprehensive and practical Compliance Support Services, support to clients need and objectives, to assist with the delivery of good customer outcomes.
Produce and deliver reports and action plans including practical solutions to specific business needs for clients to enable them to develop, monitor and maintain compliance standards.
Provide constructive feedback to assist with the review, development and maintenance of internal documentation to enable delivery of quality services.
Develop and maintain effective and proactive working relationships with internal and external stakeholders
Maintain and develop own technical and regulatory knowledge.
Take opportunities, both reactive and proactive to assist with the development of additional services and support for clients.
Support negotiation of Contract Renewals and management of retention risk with internal and external stakeholders.
Actively support and engage with business projects as required by the Regulatory Manager to meet client needs and business objectives.
To undertake ad hoc projects and duties as and when required, to support the needs of the business or to achieve departmental objectives.
Experience Required:
Level 4 Diploma in Financial Planning or equivalent
J07 or equivalent qualification would be beneficial
Previous Compliance experience in the Wealth Management space.