Senior Compliance Consultant - HOME WORKING

Active Recruiting Consultants
From £35,000 to £42,000 per annum + bonus
09 Feb 2017
09 Mar 2017
Contract Type
Full Time

For those who have a strong compliance background, are good communicators, are mobile and would like the opportunity to work from home, this is a fantastic option. Our client is growing in terms of size and reputation, are becoming very well known amongst IFA's, Insurance Brokerages and Mortgage Advisors and this appointment will help to move the company on. A great opening for someone with ambition.

The Company: Our client is a management consultancy specialising in financial services compliance and regulation. Providing consultancy services to over 100 small to medium sized firms on a regular basis, their clients are IFA’s, general insurance brokers and mortgage advisers, who are regulated by the FSA.

The Role: This business prides itself on their ability to offer plain language guidance and to communicate in a friendly and relaxed manner, making compliance both interesting and enjoyable. A primary objective is to give clients pragmatic support and assistance to help them meet both their business objectives and their regulatory commitments. For this particular role, clients could be based in the Midlands, the South-West, London and as far North as Manchester. For that reason, we are looking for someone probably based in the South Midlands. Consultants should be prepared to work anywhere in the UK and spend on average 2-3 nights away per month. Initially you will work closely with senior management/Directors and shadow them whilst gradually assuming responsibility for client accounts, gaining autonomy in around 12 months. Key responsibilities include:

  • Manage accounts involving regular visits to clients
  • Research and write client briefings on rule changes
  • Conduct compliance audits and file checks
  • Give constructive feedback and general support to clients on regulatory issues
  • Work closely with clients supporting them with T&C issues
  • Continue to develop knowledge of compliance issues
  • There will also be a need to study for industry qualifications.

Skills / Experience Required: You must have a strong compliance track record with an in-depth knowledge of retail investment products. You should possess the ability to digest and communicate complicated rules and regulations as well as having a good understanding of the FSA Handbook relevant to small firms. Naturally you are expected to have superb interpersonal skills, a collaborative approach and high quality presentation skills. You should also be at least Level 4 qualified, preferably AFPC (Or equivalent).

Additional Information: This role comes with a salary of up to £42,000 with discretionary bonus and pension on top. There is also, as you would expect a generous petrol allowance. There is also the potential for this person, once comfortable with the role, to develop accounts and bring in additional Consultants to manage, so our client is very happy to take on people with ambition.

The Senior Compliance Consultant position is only one of many vacancies we are handling. ARC is a specialist Financial Services recruiter and the Consultant handling this role has over 20 years experience in this field. Areas of focus include employee benefits/group risk, compliance, pensions, paraplanners, sales support, underwriters and IT related roles. We mainly concentrate on London and the Home Counties, whilst also enjoying regular success in offering national solutions. Check the website and feel free to call Darren Snell at any time.