Field Compliance Consultant - Covering Wilts, Oxford, Berks

  • Location:

    S. E. England, England

  • Sector:

    Financial Services

  • Job type:


  • Salary:

    Car Allowance, Bonus and Benefits

  • Contact:

    Nick Tagg

  • Contact email:

  • Job ref:


  • Published:

    5 months ago

  • Expiry date:


  • Start date:

    12/09/2019 13:12:58

Field Compliance Consultant (covering Wiltshire/Oxford/Berkshire)

I am representing a leading proactive compliance consultancy who provide their suite of services to directly authorised firms throughout the UK.

The primary focus of the role is to identify opportunities and trends and to deliver a quality service to clients / members ensuring compliance standards are enhanced, risks mitigated and value added.

Key Responsibilities:

* Create and maintain effective relationships with Clients / Members, increasing knowledge and understanding of their business
* Represent the group at all times in a professional manner with external and internal clients
* 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
* Support and promote group events by participating in preparation and delivery of training presentations and / or meetings as required

Person Specification:

* Current valid driving licence with the ability and willingness to travel
* Self motivated and positive and able to work to deadlines
* Ability to adopt a consultative approach
* Willingness to learn and develop

Experience and Qualifications:

* Previous experience working in a regulatory / compliance environment
* Knowledge of IFA markets (including provider / lenders)
* Minimum Level 4 qualification essential and mortgage qualification desirable
* 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
* Proficient IT skills
* Excellent communication and telephone skills

The client offer an attractive basics salary plus performance related bonus, car allowance, fuel card, Pension, 24 days holiday and DIS

For more information please contact Nick Tagg at Search Consultancy on 01293 848137

Search is an equal opportunities recruiter and we welcome applications from all suitably skilled or qualified applicants, regardless of their race, sex, disability, religion/beliefs, sexual orientation or age.