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Job Specification

PART TIME COMPLIANCE CONSULTANT –RETAIL FINANCIAL SERVICES/IFA EXPERIENCE REQUIRED

£40K-£50K Pro Rata (Employed or Self Employed) | Home Based (Anywhere in UK)
Ref: 3745D

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Permanent

 
 

We have been appointed by our Client, a niche consulting firm, looking for a new Compliance Consultant to join their team. Reporting directly to the MD, duties will include;

 

·       Act as the firm technical compliance aspect on COBS and all other regulatory requirement

·       Ensure regulatory changes analysed and communicated to firm’s clients (and where necessary to other staff)

·       Draft appropriate compliance document templates

·       Ongoing advice to clients 

·       Assist in suitability reviews (time permitting) 

 

You should have previous experience of Retail Compliance (covering pensions, investments, mortgage, protection and ideally equity release – though detailed product knowledge not required) whether from an in-house Compliance Department, a similar Consulting role or the Regulator. 

 

Given current Government advice, all interviews will be conducted by Zoom then once appointed, the role will be home based.

 

NB Hours likely to be between one to three days on a very flexible basis spread out over the week and weekend (e.g. to fit around childcare or other commitments) depending on time available, business need (whether client driven or when regulatory changes occur) and inclination to assist in file reviews. Also as the firm grows, full time may be possible in the future if desired. 

 

So if that sounds like you, then please send your details to our MD,  David Symes FCA, at david@compliancerecruitment.com (including a contact no) however please note due to Covid we cannot reply to all applications so only successful applications will be contacted (although under no circumstance are your details ever passed on without your specific permission).               

 

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.  

 

The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge. 

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