MERJE
Compliance Consultant (DB Transfer Review) - 12-Month FTC
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Location: Candidates must be based in the UK across the North West, North East, Yorkshire, or the Midlands. This is a remote-based role with occasional travel to client sites. Unfortunately, candidates based in London or the South East are not going to be suitable due to the location of the client base.
I'm currently supporting a well-established, award-winning regulatory consultancy with the appointment of an experienced Compliance Consultant to join their Investment Retail team on an initial 12-month fixed-term contract.
This is an excellent opportunity for someone who enjoys a varied consulting environment, working with a range of FCA-regulated firms across the wealth management and financial planning sector.
The Role
You'll be responsible for supporting clients across a broad range of compliance activities, including:
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- Conducting FCA suitability file reviews and compliance audits
- Providing technical compliance advice to regulated firms
- Managing multiple client projects simultaneously
- Building trusted relationships with clients and acting as a key point of contact
- Producing high-quality reports and making regulatory recommendations
- Supporting junior team members and contributing to wider client projects
- Keeping up to date with FCA regulatory developments and implementing regulatory change
What We're Looking For
To be considered, you'll ideally have:
- Previous experience within an FCA-regulated wealth management, financial planning, or investment business
- Strong FCA suitability file review experience
- Previous DB Transfer review experience (essential)
- Experience using the FCA DBAAT (highly desirable)
- Good working knowledge of the FCA Handbook, including COBS, SYSC, MiFID II, and SM&CR
- Diploma in Regulated Financial Planning (or equivalent)
- A full UK driving licence and willingness to travel occasionally
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Package
- Initial 12-month fixed-term contract
- Salary up to £50,000
- Fully remote working with occasional travel to client sites
- 25-30 days annual leave
- Pension scheme
- Supportive, collaborative team environment
If you have the relevant experience and would like to find out more, I'd be happy to arrange a confidential conversation.
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