Client-facing Regulatory Consultant role within a growing FCA-regulated compliance consultancy. The position focuses on supporting financial advice and investment firms with regulatory compliance, suitability oversight, and ongoing advisory support. The role is highly relationship-driven, combining technical compliance expertise with commercial awareness, stakeholder engagement, and proactive client support across a portfolio of firms.
Key Responsibilities
- Act as the primary relationship manager for allocated client firms, building long-term trusted partnerships
- Provide ongoing regulatory compliance advice to FCA-regulated financial advice and investment firms
- Support firms with understanding and meeting FCA regulatory requirements and expectations
- Manage regulatory issues including reporting requirements (e.g. RegData) and ad hoc compliance queries
- Conduct compliance monitoring, oversight reviews, and audits (remote and on-site)
- Deliver clear, practical and commercially focused regulatory guidance to firms
- Deliver training, webinars, workshops, seminars, and presentations to client firms
- Support SMCR-related matters, including engagement with senior management function holders
- Support continuous improvement of internal frameworks, tools, and methodologies
- Embrace and utilise technology and AI tools to improve efficiency and consistency of service delivery
RequirementsEssential
- Minimum Level 4 qualification
- At least 5 years’ experience in a compliance role within financial services
- Strong experience working with FCA-regulated firms
- Excellent understanding of FCA rules, regulatory expectations, and suitability requirements
- Background in pensions, investments, financial advice, or wealth management
