Regional Compliance Consultant - Coventry

Compliance Resource Solutions Ltd (CRS)
44000.00 GBP Annual + 00
08 Jan 2019
05 Feb 2019
Job Type
Contract Type

Our Client is a Well Known, Highly Respected Financial Services Organisation which Operates mostly within the IFA Market.

They are now looking to meet with an Experienced Field Compliance Consultant who is used to dealing with IFA's / FS Financial Advisor's to cover Coventry, Birmingham, Leicester and surrounding Areas.

The Ideal Candidate will Reside anywhere within or very close to the Area to be worked!

The Role:

To work effectively and efficiently to deliver a market leading proactive compliance consultancy service to directly authorised firms. To identify opportunities and trends and to deliver a quality service to clients / members ensuring compliance standards are enhanced, risks mitigated and value added.


Client / Member Facing

  • Create and maintain effective relationships with Clients / Members, increasing knowledge and understanding of their business
  • Create and deliver an appropriate programme of visits to meet the requirements of firms through effective planning, organisation and time management
  • Provide consultative support to Client / Member Firms to ensure relevant, practical compliance solutions are provided to assist with firm risk management
  • Provide support to clients / members during times of regulatory change and update firms of any current relevant regulatory and / or legislative changes during visits
  • Produce and deliver accurate reports and action plans in a timely manner to provide clear, practical solutions to specific business needs for clients / members to enable them to develop, monitor and maintain compliance standards to mitigate risks within their business
  • Conduct file reviews if / when required whilst onsite, or remotely in line with group business requirements and policy
  • Ensure delivery of T&C Service with effective delivery of training needs analysis, skills assessments, one to ones and development plans

Skills, Qualifications & Experience Required:

  • Full FPC (or equivalent)
  • CeMAP
  • Must be Level 4 Diploma Qualified
  • G60, AF3 or AF7 Pension Transfers qualification desirable or prepared to study for and attain the AF7 qualification.
  • Experience within / knowledge of DFM / DIM markets desirable
  • Good All-Round IFA Compliance Experience & Knowledge (File Review / Compliance experience in any other area of Financial Services will also be considered)
  • Previous Experience in a Similar Role (will also consider Desk Based Compliance Consultants who are capable of taking "The step Up")

There is also an attractive Car Allowance (on top of Salary), Bonus, Expenses and Benefits Package Available!