Hybrid Compliance Consultant

at Fintel

• Job title: Compliance Consultant
• Job type: Full Time
• Experience level: Mid level, Senior
• Salary: Not specified
• Degree requirement: Professional Certificate
• Location requirements: Hybrid, United Kingdom

About the role

• Compliance Consultant delivering high-quality compliance consultancy services and tailored solutions for financial advice firms. Involves supporting regulatory requirements and ensuring effective governance.

Responsibilities

• 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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