Compliance Consultant

A well-established and growing compliance consultancy firm within the wealth management and IFA sector is seeking a Compliance Consultant and File Reviewer to join their team.This is a varied, hands-on role combining technical file review work with broader compliance consultancy support, offering the chance to work closely with a range of financial advisory firms and directly impact regulatory standards and client outcomes.Role and Responsibilities:File ReviewingConduct detailed compliance file reviews across a range of advice areas (e.g. pensions, investments, protection)Assess suitability reports, client documentation, and advice processes in line with FCA requirementsProvide clear, constructive feedback and identify areas of risk or improvementEnsure adherence to relevant regulations including Consumer DutyCompliance ConsultancySupport advisory firms with day-to-day compliance queries and regulatory guidanceAssist with compliance monitoring programmes and thematic reviewsContribute to policy and procedure development and updatesSupport in preparing firms for regulatory visits and auditsDeliver pragmatic, commercial compliance advice tailored to client needsDo you have the following to apply? Previous experience in a compliance or file review role within the wealth management / IFA sectorStrong understanding of FCA regulations, including suitability and Consumer DutyMinimum Level 4 Diploma in Financial Planning (ideally Chartered or working towards)Due to the high volume ..... full job details .....