Compliance Consultant

My client, an ambitious & growing adviser network known for their inclusive & supportive culture, are looking to appoint a dynamic & solutions-oriented Compliance professional to provide effective compliance services across the Wealth, Mortgage & Protection channels.
 
Reporting to the Compliance Director, the role will support the design & delivery of the compliance plan, providing effective advice & consultancy to key stakeholders across the business, contributing to business strategy & operations.
This includes:

• Undertaking monitoring & assurance activities
• Advising Channel Heads on control enhancements, actions & solutions
• Collaborate & influence senior leaders on balancing commercial objectives with their regulatory obligations
• Support with FCA regulatory visits and thematic reviews

 
This is a key role within an evolving Compliance function, providing support and challenge to ExCo and the senior leadership team to assist in developing a customer-centric culture.
 
The ideal candidate will have worked in a Financial Services business in a 2nd Line role; have up-to-date knowledge of FCA handbooks (including SYSC, COB, MCOB, ICOB, T&C); be an effective communicator with the ability to engage and influence senior stakeholders; demonstrate an understanding of the strategic objectives of the firm and the resulting impact on processes; possess the ability to operate independently and as part of a team.