modern approach

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Compliance Consultant

Location: Darlington

Salary: £40,000 - £50,000

Type: Permanent

Category: Compliance

Ref: SW/2454

This newly created Compliance Consultant role is due to the level of demand our client is experiencing, and the variety of support their firms require.

They’re looking for someone to help ensure their financial advisory clients are always one step ahead of upcoming regulatory change. Their ethos is to make compliance as simple as possible for them, and that means knowing what is coming up, turning it into plain English, and helping firms embed it – all ahead of any looming deadlines.

The company is constantly growing and they want to find a motivated person who will fit in with their thriving business and embrace their passion for change to help drive the business forward.

Salary on offer is up to £50,000 plus benefits (dependent on experience)

The company is based in Darlington, however flexible working is available and can be 1-2 days in the office, the rest of the time working from home.


Day to day you’ll:

  • Spot, interpret and deliver upcoming changes, in regulation and any areas that will impact financial advisers.
  • Work with the adviser support team to turn this into a practical solution their member firms can use.
  • Act as point of contact for any complex compliance queries.
  • Work with the marketing team to create relevant, useful and practical content for member firms.
  • Keep abreast of FCA consultations and papers and provide commentary and feedback to all relevant parties on these.
  • Generally, be their go-to guru for all things compliance!

The world of compliance can be extremely varied – and no two roles are the same. Below is a summary of the key attributes we think are needed but if you think you are the right person for the job, and don’t match these entirely, let us know:

  • Demonstrate experience in a similar role. We are looking for someone with both the compliance expertise, and the ability to turn it into plain English. Someone with a good understanding of the IFA/financial planning marketplace. 
  • An understanding of all current regulatory legislation, as well as those already on the horizon, including a thorough understanding of the Insurance Distribution Directive.
  • Ideally level 4 qualification in financial services.
  • Experience in providing training, to advisers and compliance support people, would be advantageous.
  • The ability to self-manage, having worked on projects unsupervised previously, and keep track of different projects to meet deadlines.
  • The ability to stay focused under pressure.

Above all we’d love to hear from someone with a positive attitude who likes a challenge and isn’t afraid to roll their sleeves up and get on with the job!

About the company:

The company launched in January 2018 after a whole year of software design, development, build and testing! As such, they are still very much in the early stages of business but the company has a huge potential for growth and opportunity.  It is a sister company, an outsourced paraplanning company that has been established since 2009, and both businesses work side by side in one office space.

Across both companies, they approach financial services with a fun and positive outlook and offer a range of benefits to permanent employees to ensure their staff feel supported and motivated. They reward loyalty and offer enhanced benefits to long-service employees, but as standard (once you’ve successfully completed your 6 month probation) these include…

Core benefits

  • 26 days holiday (including days off at Christmas) PLUS bank holidays AND your birthday off (if it falls on a weekday)
  • Personalised salary structure to reflect your own effort and contribution
  • Death in Service cover
  • Personal Development budget (for exams, training, anything to help you excel!)
  • Company Pension Scheme

Other benefits

  • Casual dress code
  • Health & Wellbeing programme, including hoodie, drinks bottle and fitness tracker
  • Unlimited snacks and refreshments
  • Open plan ‘living office’ environment – including rocking (or sometimes dubious) playlists, their own in-office pub, breakout lounge and breakfast club
  • 2 official annual company parties, plus adhoc team nights out.
  • Flexible working arrangement
  • Office dogs – they’re not a place for people scared of dogs!


Next steps:

If this interests you and you’d like to find out more, please apply now or call Jess Wood on 0117 962 5005; we can then discuss this is more detail and ascertain if you’d like to be presented for the opportunity.  

All applications are read thoroughly; if you don’t receive a response within 2-3 working days it will be because on this occasion your application hasn’t been successful. The only reason you’ll be deemed unsuccessful will be due to you not having the key experience or the right level of professional qualifications for the position.

By applying for this position you agree to Sandringham Wood processing your personal data, in line with our privacy notice


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Bristol, BS9 1AQ

Sandringham Wood Recruitment Ltd is a company registered in England and Wales
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