Compliance Consultant - #2090192

A well-established and growing compliance consultancy firm within the wealth management and IFA sector is seeking a Compliance Consultant & File Reviewer to join their team.

This is a varied, hands-on role combining technical file review work with broader compliance consultancy support, offering the chance to work closely with a range of financial advisory firms and directly impact regulatory standards and client outcomes.

Role & Responsibilities:

File Reviewing

• Conduct detailed compliance file reviews across a range of advice areas (e.g. pensions, investments, protection)
• Assess suitability reports, client documentation, and advice processes in line with FCA requirements
• Provide clear, constructive feedback and identify areas of risk or improvement
• Ensure adherence to relevant regulations including Consumer Duty

Compliance Consultancy

• Support advisory firms with day-to-day compliance queries and regulatory guidance
• Assist with compliance monitoring programmes and thematic reviews
• Contribute to policy and procedure development and updates
• Support in preparing firms for regulatory visits and audits
• Deliver pragmatic, commercial compliance advice tailored to client needs

Do you have the following to apply?

• Previous experience in a compliance or file review role within the wealth management / IFA sector
• Strong understanding of FCA regulations, including suitability and Consumer Duty
• Minimum Level 4 Diploma in Financial Planning (ideally Chartered or working towards)

Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.

Clayton Davies is acting as an employment agency on behalf of our client.