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Compliance Consultant

Job description

We are working a growing firm looking to bring on a Field Based Compliance Consultant. If you have experience of financial planning compliance, have the relevant qualifications and are looking to join a firm that delivers bespoke compliance services then please send over your application!

This is a field based role which will see you covering the Dorset region so it is vital that you hold a driving license.


  • Developing and maintaining robust relationships with the clients and member firms, increasing knowledge and understanding of their business
  • Creating and delivering an appropriate programme of services and visits to meet the requirements of firms through effective planning, organisation, and time management
  • Analysing client issues and assisting n problem solving via a consultative approach
  • Providing support to clients during times of regulatory and business change and updating firms of any relevant regulatory and / or legislative changes during visits
  • Producing and delivering accurate reports and action plans to provide clear, practical solutions to specific business needs for member firms to enable them to develop, monitor and maintain compliance standards to mitigate risks within their business
  • Ensuring delivery of T&C Services with effective delivery of training needs analysis, skills assessments, one to ones and development plans

Key Skills:

  • Diploma in Financial Planning or equivalent
  • Experience working in a regulatory / compliance environment
  • Knowledge of IFA markets, including providers / lenders
  • Broad technical knowledge across all product areas
  • You're customer centric to the core
  • Strong relationship building and collaboration skills
  • Exceptional communication skills, both written and verbal
  • Excellent time management and organisation skills
  • Comfortable working under pressure
  • A passion for problem-solving and building solutions
  • Capable of creating and delivering compelling presentations and running efficient and productive meetings
  • The ability to work efficiently and independently within an agile, remote working environment

Whats in it for you:

  • 23 days holidays, increasing with length of service (England)
  • An extra day off to celebrate birthday, plus a £25 Amazon voucher
  • Pension - 5% employee, 3% employer contribution
  • Life assurance at 4x salary
  • Critical illness insurance at 3x salary
  • Income protection scheme
  • Discounted wills and LPA's through our group company, APS Legal & Associates
  • Access to the Employee Assistance Programme - offering a confidential telephone helpline that covers financial, mental and physical well-being including access to telephone or face-to-face counselling sessions
  • Cash back and discounts from high street names
  • Eye care voucher scheme
  • Lots of fundraising events for charity to get involved in

Visit the IDEX Consulting Ltd website for further opportunities. We value diversity and always provide guidance based on merit. Please note that the information supplied may be retained for up to 3 years for use in connection with future vacancies. For full information on how we use your data, please visit the IDEX Consulting website and view our Privacy Policy.