Simplybiz
Compliance Consultant
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About SimplyBiz:
Part of Fintel Services, we're one of the UK's leading providers of regulatory, business and technology support for financial advisers, intermediaries and product providers - supporting over 3,000 advisory firms across the UK.
About The Role:
We're looking for a Compliance Consultant who will deliver high-quality, risk-based compliance consultancy services, helping firms interpret and implement regulatory requirements, including Consumer Duty, to ensure good client outcomes, effective governance, and robust risk management frameworks.
As an integral member of the Consultancy Services Team, you will provide tailored business and compliance solutions to member firms, enabling them to develop, monitor and maintain regulatory standards while mitigating conduct and operational risks.
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Location details:
This is a field-based role to cover central Scotland. Occasional travel outside these regions may be required to meet business needs.
What You'll Do
- Deliver risk-based compliance visits and build lasting relationships with Member Firms
- Guide firms through FCA regulatory requirements and Consumer Duty outcomes
- Identify risks and produce clear, practical compliance reports and action plans
- Deliver T&C services - training needs analysis, skills assessments, coaching and development plans
What You'll Need
- Level 4 Diploma in Regulated Financial Planning (or equivalent)
- CeMAP or equivalent mortgage qualification
- Experience in a financial services compliance, regulatory or supervisory environment
- Strong knowledge of IFA and mortgage markets
- Excellent communication and relationship-building skills
- Comfortable working independently in a field-based, agile environment
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Nice to Have
- G60, AF3, AF7, or DFM/DIM knowledge (J10)
- T&C supervision/assessment experience
- Background in a consultancy or network environment
Important to know:
Right to Work:
Applicants must already hold a legal right to work in the UK without time restrictions and without the need for future sponsorship. We are unable to provide Skilled Worker visa sponsorship.
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