Senior Compliance Consultant

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This range is provided by Clayton Davies. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

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Our client is a respected name in the wealth management and IFA sector, and as part of their continued growth, they are seeking a Senior Compliance Consultant with deep expertise in due diligence and acquisitions.

This position is focused on leading and supporting the acquisition lifecycle within the wealth management sector. You will conduct compliance due diligence on target IFA firms, assess regulatory risk, and provide practical guidance to ensure smooth and compliant acquisitions and integrations.

Role & Responsibilities:

• Lead compliance due diligence for acquisitions of IFA and wealth management businesses.
• Evaluate the target firm’s regulatory history, client files, adviser conduct, T&C schemes, and systems & controls.
• Identify compliance risks and produce clear, concise reports and recommendations for buyers and stakeholders.
• Support post-acquisition integration, ensuring alignment with FCA requirements and internal compliance frameworks.
• Collaborate with legal, finance, and operational teams throughout the acquisition process.
• Stay current with FCA regulations and guidance affecting financial advice and wealth management.

Do you have the following to apply?

• Minimum 5 years of compliance experience within the IFA or wealth management sector.
• Strong track record in conducting compliance due diligence and supporting acquisitions or business sales.
• Previous management experience would be beneficial.
• Minimum Level 4 Diploma in Financial Planning (or equivalent)

Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.

Clayton Davies is acting as an employment agency on behalf of our client.

• Seniority level
  
  Mid-Senior level

• Employment type
  
  Full-time

• Job function Other
• Industries Financial Services and Investment Management

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