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Financial Services Compliance Consultant

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Financial Services Compliance Consultant

We are really pleased to be working with this Liverpool City Centre based Financial Services organisation that over the last 12 months has grown dramatically.

Salary is dependent on experience.

As a result of growth, the Financial Services company is looking to recruit an additional Compliance Consultant to join their compliance team.

This compliance role will involve:

  • Undertake file reviews.
  • Providing compliance support to the Financial Advisors and the back office support teams.
  • Review Advisor's files for client’s suitability.
  • Compliance monitoring.
  • Work with management to maintain a high standard of compliance.
  • Review the organisation's Financial Promotions.

I can discuss this financial service firm and its role in more detail as I’ve worked with this organisation for several years.


  • Ideally have Financial Planning qualifications such as the Diploma in Financial Planning or other current qualifications such as RO1 – RO6.
  • Compliance experience within Financial Services would be beneficial but not essential.
  • If you have Paraplanning or Financial Advice experience and looking to move into compliance I would love to hear from you.

I would also be interested to hear from Financial Advisors for this position who have experience working in the banking sector.

To apply for the outstanding financial services job opportunity please click to apply:

5 September 2023
Compliance Associate
Merseyside, Liverpool City Centre
Salary dependent on experience.