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Compliance Consultant

Date posted: 18 Nov, 2014
Ref: Ref:cc090914
Industry: Compliance
Salary: £45000 - £50000 + Benefits
Location: Worcestershire
Contract Type: Permanent
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Further Information

My client is a growing Financial Services provider based in the Birmingham area. Due to the continued success of the business and subsequent growth of the Financial Compliance function, they are currently recruiting for a Financial Compliance Specialist.

Reporting to the Director of Compliance & Professional Development, as the Financial Compliance Specialist you will act by providing consultancy, administration and communication solutions within the business. Your key responsibilities will include:

  • The design, implementation and ongoing maintenance of internal procedures, systems and controls to meet FCA expectations.
  • Promote best practices across the business, with a focus towards continual improvement and the promotion of a strong internal compliance culture which is easy to work with.
  • Identify regulatory risk issues within the business, you’ll report directly to the Director of Compliance & Professional Development on issues and related developments within the marketplace.
  • Practical application of T&C, including client record keeping reviews.
  • Develop an understanding of wider operational risks and control risk issues.

You will be a Compliance professional with experience of personal wealth management for high net worth individuals or pensions background, a strong understanding of FCA guidelines and its principles is essential. You must be qualified holding a PFS level 4 Diploma, at least 3 years’ experience within a Financial Services business is required.


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