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Field based Compliance Consultant

Nelson Scott LLP
Closing date
28 Jan 2022

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Technology & New Media
Contract Type
Full Time
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We're looking for proactive, energetic, and talented compliance professionals with first class communication and relationship-building skills, to join our team of Field Based Compliance Consultants who deliver a market leading compliance service to directly authorised adviser firms. As an integral member of the Consultancy Services Team you'll ensure we provide business and compliance solutions to the firms we support, helping them develop, monitor, and maintain compliance standards to mitigate risks within their business. You are a self-starter, you have a breadth of technical compliance and industry knowledge and you are passionate about compliance. You are comfortable problem solving, delivering bespoke compliance services, drafting reports and action plans and delivering a T&C Service.

What you'll be doing
  • Developing and maintaining robust relationships with our clients and member firms, increasing knowledge and understanding of their business
  • Creating and delivering an appropriate programme of services and visits to meet the requirements of firms through effective planning, organisation, and time management
  • Analysing client issues and assisting n problem solving via a consultative approach
  • Providing support to clients during times of regulatory and business change and updating firms of any relevant regulatory and / or legislative changes during visits
  • Producing and delivering accurate reports and action plans to provide clear, practical solutions to specific business needs for member firms to enable them to develop, monitor and maintain compliance standards to mitigate risks within their business
  • Ensuring delivery of T&C Services with effective delivery of training needs analysis, skills assessments, one to ones and development plans.

What you need to succeed
  • Diploma in Financial Planning or equivalent
  • Experience working in a regulatory / compliance environment
  • Knowledge of IFA markets, including providers / lenders
  • Broad technical knowledge across all product areas
  • You're customer centric to the core
  • Strong relationship building and collaboration skills
  • Exceptional communication skills, both written and verbal
  • Excellent time management and organisation skills
  • Comfortable working under pressure
  • A passion for problem-solving and building solutions
  • Capable of creating and delivering compelling presentations and running efficient and productive meetings
  • The ability to work efficiently and independently within an agile, remote working
  • Environment

Nice to haves
  • G60, AF3 or AF7 qualifications
  • Knowledge of DFM / DIM markets
  • Mortgage qualification

What we offer you
  • Car allowance
  • Company funded income protection, critical illness, and life assurance cover
  • Happy to talk flexible working
  • Contributory pension scheme
  • Annual leave allowance increasing with length of service
  • An extra day off to celebrate your birthday, plus a £25 Amazon voucher
  • A discretionary annual performance-related bonus
  • Investment in your professional development
  • Access to our free Employee Assistance Programme
  • An invite to our exclusive annual Christmas Party
  • Lots of fundraising events for charity to get involved in!
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