Compliance Intern offering forensic analysis support for Johnson & Johnson. Engaging in audits and analytical tasks in a hybrid work environment in New Brunswick, NJ.
About the role
- Compliance Consultant delivering high-quality compliance consultancy services and tailored solutions for financial advice firms. Involves supporting regulatory requirements and ensuring effective governance.
Responsibilities
- Deliver a programme of risk-based compliance visits in line with contracted service levels and timescales
- Build and maintain strong, trusted relationships with Member Firms, developing a deep understanding of their business models, risks, and advice processes
- Provide tailored, consultative compliance guidance to help firms meet FCA regulatory expectations
- Support firms in embedding and evidencing Consumer Duty outcomes, including fair value, customer understanding, and ongoing monitoring
- Identify regulatory and conduct risks, providing clear, pragmatic recommendations and appropriate escalation where necessary
- Produce accurate, high-quality compliance reports and action plans that offer practical solutions to identified issues
- Provide timely updates on regulatory and legislative developments and their practical implications for firms
- Deliver Training & Competence (T&C) services, including: training needs analysis, skills and competence assessments, one-to-one coaching and feedback and development plans and competence sign-off support
- Assist firms during periods of regulatory or business change, ensuring continued compliance and good client outcomes
- Contribute to thematic reviews, root cause analysis and trend identification to enhance consultancy services
- Support continuous improvement of internal compliance frameworks and consultancy methodologies
- **Regulatory & Risk Responsibilities**
- Provide robust and constructive challenge where regulatory risks or poor customer outcomes are identified
- Support firms in maintaining effective compliance monitoring and governance arrangements
- Promote high standards of conduct risk awareness and mitigation
- Ensure all consultancy activity aligns with FCA principles, Consumer Duty requirements, and best practice guidance
- Maintain up-to-date knowledge of regulatory developments affecting financial advice and mortgage markets
Requirements
- Qualified to a minimum of Level 4 Diploma in Financial Planning
- A mortgage qualification
- Diploma in Regulated Financial Planning (or equivalent qualification)
- CeMAP (or equivalent mortgage qualification)
- Experience working within a financial services compliance, regulatory or supervisory environment
- Strong knowledge of IFA and mortgage markets, including key providers and lenders
- Broad regulatory and technical knowledge across advised product areas
- Excellent written and verbal communication skills with the ability to deliver clear, practical guidance
- Strong organisational and time management skills with the ability to manage multiple client engagements
- Customer-centric mindset with a focus on delivering good client outcomes
- Strong relationship-building and stakeholder engagement skills
- Ability to work independently and effectively within an agile, remote and field-based environment
- **Desirable requirements: **
- Advanced qualifications such as G60, AF3 or AF7
- Knowledge of Discretionary Fund Management (DFM/DIM) markets (e.g. J10)
- Experience delivering Training & Competence supervision and assessments
- Experience supporting directly authorised firms within a consultancy or network environment
Benefits
- **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.
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Job title
Job type
Experience level
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Degree requirement
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