Compliance Consultant
Simplybiz
Date: 1 week ago
City: Huddersfield
Contract type: Full time
Are you passionate about delivering excellent technical support and helping member firms navigate complex regulatory requirements? We’re looking for a Compliance Consultant who thrives on making a difference and is confident in providing clear, professional guidance across a range of compliance-related subject areas.
Key Responsibilities:
Qualifications & Training:
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.
For these reasons we strongly encourage suitably qualified applicants from a wide range of backgrounds.
Key Responsibilities:
- Respond to member queries via telephone and email in a timely, professional, and accessible manner.
- Log all communication with member firms accurately in Microsoft Dynamics.
- Maintain knowledge of the regulatory requirements, industry changes and explain these clearly to members.
- Investigate and research individual firm queries to provide thorough, accurate, and timely responses.
- Provide in-depth support on RegData reporting – helping firms gather, complete, and cross-validate their data submissions.
- Review and advise on financial promotions, disclosure documents, and firm stationery to ensure compliance.
- Offer guidance on Training & Competence (T&C) frameworks, including CPD requirements.
- Understand Professional Indemnity (PI) Insurance requirements and their implications for member firms.
- Provide support relating to FCA Consumer Credit permissions.
- Maintain working knowledge of Consumer Duty and Senior Managers & Certification Regime (SM&CR).
- Stay informed on related regulations including Data Protection, JMLSG, Consumer Credit, and Financial Sanctions.
Qualifications & Training:
- Level 4 Diploma strongly desired.
- Degree educated, or able to demonstrate equivalent intellectual ability.
- Relevant financial services qualifications (e.g. CeMAP, Equity Release, Long term care).
- Strong understanding of the UK financial services industry, including directly authorised firms.
- Working knowledge of financial products.
- Awareness of The SimplyBiz Group, its services, and the businesses within it (desirable).
- Excellent customer support skills that blend customer service with technical support.
- Ability to develop an in-depth understanding of industry-specific topics, demonstrated through previous experience.
- Strong written and verbal communication skills, including a confident telephone manner and outbound calling abilities.
- Strong organisational and administrative skills with the ability to plan, prioritise, and meet deadlines.
- Good interpersonal skills and the ability to work well in teams.
- Quick learner with the ability to explain complex topics clearly to others.
- Providing telephone-based customer support.
- Collaborative problem-solving skills, working across departments.
- Experience working in a team environment.
- Experience in the financial services industry, ideally in a compliance role.
- Ability to build strong relationships with both internal and external contacts.
- Experience supporting business customers.
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.
For these reasons we strongly encourage suitably qualified applicants from a wide range of backgrounds.
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