Role Overview:
As a Compliance Consultant, you will join threesixty'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.
This is a varied and technically challenging role suited to someone who wants to become a trusted source of regulatory guidance while continuing to build their technical and client-facing expertise.
- 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.
Essential requirements:
- 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).
Desirable requirements:
- 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.
Your approach to work:
- 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.
