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Compliance Consultant (Field Based)

  • Salary: £35000.00 - £39000.00 per annum
  • Location: Scotland
  • Sector: Compliance
  • Job type: Permanent
  • Date posted:
    19 Dec 2017
  • Job reference: 30098

To client is currently looking for a field based Compliance Consultant in Scotland to work with an agreed portfolio of IFA's to consult, monitor, review and support their business, ensuring compliance standards are met and enhanced.


  • To create and maintain effective relationships with clients, increasing knowledge and understanding of their business
  • Adhere to the monitoring procedures and ensure consistency in delivery carry out file reviews etc.
  • Participate in preparing and delivering training presentations at regular client events
  • Create an appropriate programme of visits to meet the monitoring requirements of Provide consultative support to client firms
  • Clients through effective planning, organisation and time management
  • Timeously prepare and produce quality visit reports and documents for clients, ensuring accuracy in format and information therein
  • Ensure delivery of T&C scheme management with effective delivery of training needs analysis, skills assessments, one to ones and development plans
  • Reading of the FCA website/regulatory updates/handbook and other internal/external industry updates as required
  • Update clients during monitoring visits of any current regulatory and/or legislative changes
  • Play an active part in the Consultant team, carrying out work to enhance the delivery of service to clients and ensuring information, knowledge, experience and innovation is shared across the business
  • Ensure own knowledge is enhanced and maintained through relevant continued professional development
  • Prepare for quarterly 1:1/appraisal meetings with Manager and ensure necessary work undertaken to achieve individual targets

Person Specification:

  • Previous experience working in provider and/or IFA preferable, demonstrating broad sales, technical and compliance knowledge
  • Broad technical knowledge across all product areas
  • Previous experience in compliance/file reviewing
  • Minimum Level 4 qualification essential and mortgage qualification desirable
  • G60, AF3 or AF7 Pension Transfers qualification desirable or prepared to study for and attain the AF7 qualification
  • Excellent customer service
  • Proficient IT skills
  • Current valid driving licence
  • Ability to travel
  • Self motivated and positive
  • Ability to work under pressure
  • Excellent communication and telephone skills

Please visit the IDEX Consulting Ltd website for further opportunities. If your application is successful we will contact you to discuss the opportunity in more detail within 2 working days of receiving your application. If your application is unsuccessful, the information supplied may still be retained for use in connection with future vacancies. Due to the overwhelming application response we receive through various sources, should you not hear from us within one week then please assume your application has been unsuccessful.

Our clients include: