MERJE
Regulatory Compliance Consultant - Wealth/IFA
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Location: Scotland or Northern Ireland – Remote role with client site visits
Salary: Competitive, depending on experience
Type: Permanent
A leading provider of regulatory and compliance consultancy services is looking to appoint a Compliance & Regulatory Risk Consultant to support a growing portfolio of financial services clients across the UK.
The successful candidate must be based in Scotland or Northern Ireland, with the role involving a mixture of remote working and visits to client firms.
This is a varied, client-facing role offering the opportunity to work closely with financial planning and wealth management firms, providing practical regulatory guidance, identifying areas of risk and helping businesses strengthen their compliance frameworks.
The role would suit an experienced compliance professional who enjoys working directly with clients and wants a position that offers variety, autonomy and the opportunity to make a tangible impact.
The Role
You will act as a key point of contact for allocated client firms, providing regulatory support and guidance both remotely and through on-site consultancy visits.
Your responsibilities will include:
- Delivering regulatory consultancy days both remotely and on-site with client firms.
- Reviewing firms' existing processes, procedures and practices against FCA regulations and best practice.
- Conducting regulatory risk assessments and identifying weaknesses, gaps and areas for improvement.
- Providing practical guidance on the implementation of regulatory systems and procedures.
- Supporting clients with supervision and Training & Competence activities where required.
- Assisting with FCA RegData and Connect returns.
- Preparing clear, concise reports following client visits, outlining findings and agreed actions.
- Discussing findings with clients and supporting them with any required remedial action.
- Acting as the primary contact for allocated firms on regulatory and compliance queries.
- Building strong, long-term relationships with client firms.
- Keeping up to date with regulatory developments and developing specialist knowledge across agreed areas.
- Contributing to compliance updates, client events, forums and wider consultancy initiatives.
- Maintaining appropriate CPD and ensuring knowledge remains current.
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About You
We’re looking for someone with a strong understanding of the UK financial services regulatory environment and previous experience working in compliance within the financial planning, wealth management or IFA sector.
You should have:
- At least 5 years' financial services experience, including a minimum of 2 years in a regulatory/compliance position.
- Level 4 qualification, or be working towards Level 4.
- Financial Planning Certificate or equivalent.
- CeMAP or equivalent.
- Strong knowledge of the UK regulatory framework and FCA requirements.
- Good knowledge of COBS and experience using the FCA website and FCA Register.
- Experience with RegData and Connect would be advantageous.
- Strong analytical skills, with the ability to identify regulatory gaps and recommend practical solutions.
- Excellent written and verbal communication skills.
- The confidence and interpersonal skills to work directly with clients and senior stakeholders.
- Strong organisational skills and the ability to manage your own workload and diary.
- A proactive, commercially aware and solutions-focused approach.
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Desirable:
- AF6 or equivalent.
- Advanced Diploma in Financial Services or equivalent.
- Experience delivering regulatory consultancy or working in a field-based compliance role.
- Presentation or seminar experience.
- Experience in project management, negotiation, coaching or providing constructive feedback.
What's on offer?
This is an opportunity to join an established consultancy environment where you'll work across a varied client base rather than being tied to one organisation.
You'll have the opportunity to build strong client relationships, develop your regulatory expertise and take ownership of your own portfolio of firms, with a mixture of remote and client-facing work.
Interested? If you're an experienced financial services compliance professional based in Scotland or Northern Ireland and looking for a more varied, client-facing opportunity, we'd be keen to hear from you.
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