Fintel

Compliance Consultant

Fintel

full-time

Posted on:

Location Type: Hybrid

Location: United Kingdom

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About the role

  • Deliver a programme of risk-based compliance visits in line with contracted service levels and timescales
  • Build and maintain strong, trusted relationships with Member Firms, developing a deep understanding of their business models, risks, and advice processes
  • Provide tailored, consultative compliance guidance to help firms meet FCA regulatory expectations
  • Support firms in embedding and evidencing Consumer Duty outcomes, including fair value, customer understanding, and ongoing monitoring
  • Identify regulatory and conduct risks, providing clear, pragmatic recommendations and appropriate escalation where necessary
  • Produce accurate, high-quality compliance reports and action plans that offer practical solutions to identified issues
  • Provide timely updates on regulatory and legislative developments and their practical implications for firms
  • Deliver Training & Competence (T&C) services, including: training needs analysis, skills and competence assessments, one-to-one coaching and feedback and development plans and competence sign-off support
  • Assist firms during periods of regulatory or business change, ensuring continued compliance and good client outcomes
  • Contribute to thematic reviews, root cause analysis and trend identification to enhance consultancy services
  • Support continuous improvement of internal compliance frameworks and consultancy methodologies
  • **Regulatory & Risk Responsibilities**
  • Provide robust and constructive challenge where regulatory risks or poor customer outcomes are identified
  • Support firms in maintaining effective compliance monitoring and governance arrangements
  • Promote high standards of conduct risk awareness and mitigation
  • Ensure all consultancy activity aligns with FCA principles, Consumer Duty requirements, and best practice guidance
  • Maintain up-to-date knowledge of regulatory developments affecting financial advice and mortgage markets

Requirements

  • Qualified to a minimum of Level 4 Diploma in Financial Planning
  • A mortgage qualification
  • Diploma in Regulated Financial Planning (or equivalent qualification)
  • CeMAP (or equivalent mortgage qualification)
  • Experience working within a financial services compliance, regulatory or supervisory environment
  • Strong knowledge of IFA and mortgage markets, including key providers and lenders
  • Broad regulatory and technical knowledge across advised product areas
  • Excellent written and verbal communication skills with the ability to deliver clear, practical guidance
  • Strong organisational and time management skills with the ability to manage multiple client engagements
  • Customer-centric mindset with a focus on delivering good client outcomes
  • Strong relationship-building and stakeholder engagement skills
  • Ability to work independently and effectively within an agile, remote and field-based environment
  • **Desirable requirements: **
  • Advanced qualifications such as G60, AF3 or AF7
  • Knowledge of Discretionary Fund Management (DFM/DIM) markets (e.g. J10)
  • Experience delivering Training & Competence supervision and assessments
  • Experience supporting directly authorised firms within a consultancy or network environment
Benefits
  • **Right to Work: **
  • Applicants must already hold a legal right to work in the UK without time restrictions and without the need for future sponsorship. We are unable to provide Skilled Worker visa sponsorship.
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Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools
compliance guidancerisk assessmentregulatory monitoringtraining needs analysisskills assessmentroot cause analysiscompliance reportingconduct risk mitigationConsumer Duty outcomesfinancial planning
Soft Skills
relationship buildingstakeholder engagementcommunication skillsorganizational skillstime managementcustomer-centric mindsetindependent workingconsultative approachproblem-solvingagile working
Certifications
Level 4 Diploma in Financial Planningmortgage qualificationDiploma in Regulated Financial PlanningCeMAPG60AF3AF7