Position: Compliance Consultant (part time position/3 days per week)
Location: Redhill, Surrey (hybrid working available)
Minimum Requirements:
- A strong background within Training & Competence and Compliance;
- Possesses a strong understanding of FCA rules & regulations;
- Part OR fully qualified in CII Diploma in Regulated Financial Planning;
- Possesses excellent communication and relationship-building skills
Salary/package: £43,000 (£25,800 pro rata/22.5 hours per week) + bonus + 27 days' annual leave + pension (5%, 5%) + healthcare + various other benefits.
YOUR NEW COMPANY
Our client is a Top 10 Chartered Financial Planner & Employee Benefits firm, based near Redhill, Surrey. This award-winning business has a new requirement for a Compliance Consultant to join it's expanding Compliance team. The role has been created due to a large increase in business and headcount. The Compliance Consultant opportunity is a 3-day-per-week, part-time position.
THE ROLE
Reporting to the Head of Compliance, the Compliance Consultant's main purpose is to supervise the firm's T&C practices across both the regulated businesses alongside the training and development of the company's advisers. The position offers hybrid working. The Compliance Consultant's key duties will include:
- Ability to evaluate the performance of the firm's advisers through assessments, observations and analysis and prepare reports of the findings
- Conducting file reviews
- Monitoring the annual renewals of the statement of Professional Standings for all regulated advisers
- Responsibility for onboarding new advisers
- Preparation and agreement of annual personal development plans
- Sourcing of relevant training courses
- A strong understanding of relevant laws, regulations and industry best practice in relation to T&C supervision
- Monitoring and Interpreting proposed and actual changes to FCA regulations and laws
- Develop and maintain comprehensive written policies and procedures that align with regulatory T&C requirements
REQUIREMENTS
Candidates interested in the the Compliance Consultant vacancy will require the following:
- A strong background within T&C or Compliance
- Possesses a strong understanding of FCA rules & regulations
- Part OR fully qualified in CII Diploma in Regulated Financial Planning
- Possesses excellent communication and relationship-building skills
REMUNERATION / PACKAGE
The package for the Compliance Consultant vacancy is as follows:
- Salary up to £43,000 (£25,800 pro rata for 22.5 hours per week across 3 working days)
- Annual bonus
- 27 days' annual leave
- Pension (5%, 5%)
- Healthcare
- Various other benefits.
Next steps:
If you are happy to apply for this position, please click on the Apply button and attach an updated copy of your CV.