Compliance Consultant

Role Overview:

As a Compliance Consultant, you will join three sixty's Compliance Helpdesk team, providing regulatory support to FCA-authorised firms across the investment, pension, protection and mortgage sectors. You'll respond to client compliance enquiries, review a range of regulatory documentation, and support firms through everything from Consumer Duty and SM&CR to FCA authorisation applications.

As a Compliance Consultant, you will join three sixty's Compliance Helpdesk team, providing regulatory support to FCA-authorised firms across the investment, pension, protection and mortgage sectors. You'll respond to client compliance enquiries, review a range of regulatory documentation, and support firms through everything from Consumer Duty and SM&CR to FCA authorisation applications.

• Respond to client compliance enquiries by telephone, email and video meeting.
• Provide practical guidance on FCA regulatory requirements.
• Review financial promotions, client agreements, disclosure documents, websites and consumer communications.
• Support firms with Consumer Duty, complaints handling, SM&CR and wider governance matters.
• Assist with FCA authorisation applications, variations of permission and regulatory notifications.
• Review regulatory returns and provide feedback to firms.
• Research regulatory developments and technical compliance issues.
• Contribute to articles, webinars, guidance notes and client events.
• Build and maintain strong relationships with clients and colleagues.

• At least 4 years' experience in a compliance, risk or regulatory role within financial services.
• Experience advising FCA-authorised firms or working within an FCA-regulated environment.
• Strong knowledge of FCA regulatory requirements and the FCA Handbook.
• Experience reviewing regulatory documentation and providing written feedback.
• Strong analytical, problem-solving and communication skills.
• Level 4 Diploma in Financial Planning (or an equivalent Level 4 regulated financial services qualification).
• Proficient in Microsoft Office (Word, Excel, Outlook).

• Compliance consultancy or network experience.
• Financial promotions review experience.
• Experience supporting FCA applications and regulatory projects.
• Knowledge of Consumer Duty and SM&CR.
• Experience supporting investment and pension advice firms.
• Progress towards Chartered status or other advanced qualifications.

• Technically strong and commercially minded, with the ability to explain complex regulatory issues in plain English.
• Client-focused, approachable and responsive.
• Pragmatic and solutions-oriented, capable of exercising sound judgement.
• Committed to continuous professional development.
• A collaborative and supportive team player.

Reporting line:
You will report to the Compliance Helpdesk Team Leader.

Location:

Hybrid working, ideally attending the South Manchester office approximately two days per week.

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.

Fintel plc and all the businesses within it adopt a zero-tolerance approach to discrimination on any of the protected grounds in the Equality Act 2010.

We are committed to providing equal opportunities to all current and prospective employees regardless of age, disability, sex, sexual orientation, pregnancy and maternity, race or ethnicity, religion or belief, gender identity, or marriage and civil partnership.

We aspire to have a diverse workforce because, in our view, diversity enables better business outcomes. We also believe that a more inclusive workplace, where people of different backgrounds work together, ensures better outcomes for all staff. From application to interview, we place inclusion at the heart of all we do.