Accessibility Links

Compliance Consultant

  • Salary: £300 - £400 per day
  • Location: Oxfordshire
  • Sector: Compliance
  • Job type: Permanent
  • Date posted:
    17 Apr 2019
  • Job reference: 32601

My client, a chartered Financial Planner, is a top 100 independent financial advisory firm based in Thame, Oxfordshire. In line with our strategic growth plans we are currently recruiting for a Compliance Consultant with extensive knowledge and experience of compliance within financial services to join us on a part-time, FTC basis to help us strengthen the compliance procedures they already have in place and develop robust quality controls to ensure we have operational excellence across the organisation.

The position would suit an individual that has a proven track record of putting compliance processes in place within a FCA regulated environment; is passionate about continuous improvement; capable of advising the leadership team on improvements; can provide training on regulatory updates and is happy to play a hands-on role in the on-going auditing of both the IFA and discretionary fund management sides to the group.

Responsibilities

  • Provide advice and guidance on all aspects of compliance for my client's IFA practice and Discretionary Fund Manager including, file reviews, annual compliance audits, TCF gap analysis and implementation, financial promotion approval, recruitment guidance and implementation of T&C schemes
  • Devise a competency framework to assess Advisers of all levels, including the sign-off of individuals once deemed competent
  • Develop and maintain policies, processes, registers and MI reports to ensure the necessary aspects of regulatory compliance are adhered to and reported
  • Design and deliver regulatory training to all team members including, MLV, data protection etc.
  • Take ownership for ensuring the business is aware of any regulatory compliance updates
  • Interpret regulatory requirements and implement practical, compliant solutions
  • Assist with due diligence and on-going compliance
  • From time to time you will be required to visit hub sites across the UK to conduct compliance checks and training

To be successful you will need

  • Level 4 qualified or equivalent
  • Extensive experience within the financial services sector, with in-depth knowledge of investments, pensions and other financial products
  • Understanding of FCA handbooks, especially ICOBS, TCF, DPA, financial crime, consumer credit and complaints will be required
  • Practical experience in the application of FCA rules and regulations

If successful, you will benefit from a daily rate of £300-400 per day, dependent on skills and experience.

This is a great opportunity for an experienced Compliance Consultant to join a successful, growing IFA and play an instrumental role in developing core compliance structures within a top 100 IFA.

Please visit the IDEX Consulting Ltd website for further opportunities. If your application is successful, we aim to contact you to discuss the opportunity in more detail within 2 working days. 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. If your application is unsuccessful, the information supplied may still 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.

Our clients include: