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Business Compliance Consultant

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Broster Buchanan

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Location:
United Kingdom , Liverpool

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Category:

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Contract Type:
Not provided

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Salary:

45000.00 GBP / Year

Job Description:

The Compliance Officer is responsible for supporting the firm in meeting its regulatory obligations and maintaining a strong compliance culture. The role focuses on monitoring adherence to FCA regulations, internal policies, and industry standards, while providing practical compliance advice to the business.

Job Responsibility:

  • Support the firm’s compliance with FCA rules, guidance, and principles, including the FCA Handbook
  • Assist in maintaining compliance frameworks, policies, and procedures in line with regulatory requirements
  • Provide day-to-day compliance guidance to advisers and business stakeholders
  • Conduct compliance monitoring activities, including file reviews, thematic reviews, and adviser oversight
  • Identify regulatory risks, control weaknesses, and breaches, escalating issues where appropriate
  • Track and follow up on remedial actions to ensure timely resolution
  • Act as a first line of compliance support for regulated advice activities
  • Review financial promotions, suitability reports, and advice documentation to ensure regulatory compliance
  • Support the implementation of regulatory change initiatives and communicate updates to relevant stakeholders

Requirements:

  • Level 4 DipFA qualified
  • solid understanding of regulated financial advice environments

Additional Information:

Job Posted:
February 14, 2026

Employment Type:
Fulltime
Job Link Share:

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