Senior Compliance Consultant – Regulatory Hosting

Location: Hybrid / Remote (UK)

Employment Type: Full-Time

Reports to: CEO

The Opportunity

Compliance is evolving. The most effective professionals today don't just interpret regulations, they help businesses navigate them with confidence.

We are seeking an experienced Senior Compliance Consultant to join our clients rapidly growing Regulatory Hosting business, supporting a range of wholesale buy-side Appointed Representatives (ARs) operating within an FCA-regulated environment. This is an opportunity to move beyond traditional compliance monitoring and become a trusted adviser to innovative investment businesses, working alongside founders, senior executives and investment professionals across a diverse client base.

You will be a confident and commercially aware compliance professional who can balance regulatory rigour with pragmatic advice. You enjoy building trusted client relationships, can provide effective challenge when required, and are comfortable operating within a fast-paced regulatory environment. You will have the credibility and expertise to work closely with senior management teams across multiple client firms while ensuring FCA obligations and regulatory standards are consistently met.

This is a senior compliance oversight role focused on providing high-quality regulatory guidance, monitoring, and assurance to appointed firms conducting regulated investment activities. You'll play a key role in helping firms operate confidently within the regulatory landscape while ensuring robust governance, effective controls and high regulatory standards.

Whilst you will be client-facing, there are no sales targets, business development responsibilities or revenue-generation requirements - your focus will be on delivering exceptional compliance oversight, advice and regulatory support.

What's On Offer

• Opportunity to work with a diverse portfolio of sophisticated wholesale companies.
• Meaningful client interaction and the opportunity to become a trusted compliance partner.
• A chance to influence governance, risk management and regulatory outcomes at senior management level.
• A collaborative culture that values professionalism, expertise and continuous development.
• Exposure to a broad range of FCA responsibilities.
• Professional development and ongoing regulatory training.
• Competitive salary and benefits package with a clear progression path.
• Hybrid working arrangements (2-3 days a week in the office).

What You'll Be Doing

• Act as the primary compliance contact for a portfolio of Appointed Representatives operating under the firm's regulatory hosting framework.
• Provide day-to-day regulatory guidance on FCA rules and expectations, including those relating to MiFID investment firms, appointed representatives, financial promotions, conduct, and governance.
• Conduct compliance monitoring reviews and thematic assessments in line with the Compliance Monitoring Programme.
• Review and challenge client policies, procedures, governance arrangements, and control frameworks.
• Support onboarding and ongoing oversight of Appointed Representatives, including due diligence, risk assessments, and annual reviews.
• Identify, assess, and escalate regulatory risks and compliance issues where appropriate.
• Review financial promotions and client communications to ensure regulatory compliance.
• Assist with regulatory reporting, breaches, incidents, complaints, and remediation activities.
• Maintain detailed records of compliance reviews, findings, actions, and client interactions.
• Monitor regulatory developments and communicate relevant changes to clients and internal stakeholders.
• Contribute to internal compliance projects, regulatory initiatives, and continuous improvement of the regulatory hosting framework.
• Build strong relationships with clients while maintaining appropriate regulatory challenge and oversight.

What We're Looking For

• Minimum 5 years' compliance experience within a financial services Consulting or Regulatory Hosting environment
• Strong knowledge of the UK regulatory framework and FCA Handbook relating to institutional investment businesses
• Proven experience conducting compliance monitoring reviews and providing regulatory advice.
• Excellent stakeholder management and communication skills.
• Ability to work independently while managing multiple client relationships and priorities.

If you're looking for a role where your expertise will have a tangible impact on a portfolio of growing investment firms, and where compliance is viewed as a strategic partner rather than a tick-box function, we'd love to hear from you.