Job Description

We are working with a thriving surrey based boutique consultancy who are looking to appoint a senior member of the team as a Regulatory Advisory Consultant. 

The successful candidate will be looking to ultilise existing skills through challenging and diverse work. The key aspects of the role are broad ranging and include:

• Providing support and mentoring to the team of independent Consultants
• Managing internal workstreams and projects
• Research into both current and future regulatory requirements and expectations
• Providing (pre-approved) regulatory guidance and compliance advice to clients
• Taking a key role in initiating and developing business opportunities
• Leading the delivery of client projects/engagements
• Drafting and reviewing deliverables including Project Initiation Documents, engagement (MI) updates and final reports

Work will likely include both short and longer term assignments across a range of sectors, firms and business models.

Core Duties:

• Attend and support meetings to identify and qualify potential opportunities with new and existing clients
• Draft and review client proposals
• Organise consultancy resources and client engagements
• Deliver regulatory consultancy engagements in line with the requirements set out in the “Engagement Lifecycle”
• Produce detailed reports and action plans for clients to enhance their compliance with regulatory obligations and expectations
• Maintain positive and open working relationships with the FCA and other internal stakeholders
• Assist with the design and development of new products and services
• Oversight and management of ISO27001 & IS9001 frameworks
• Draft and support end-to-end process mapping and implementation of policies, processes and controls
• Managing data governance across the business

Qualifications, Knowledge, Skills, Experience:

• Detailed understanding of the FCA Handbook, Conduct of Business rules and regulatory requirements for FCA Solo Regulated Firms.
• A minimum of 5 years’ experience in one or more of the following:
• A Regulatory / Advisory Consultancy, and/or
• A FCA regulated financial services business e.g. Consumer Credit, General Insurance, Mortgage, IFA/Wealth Management, Investment/Asset Management and/or
• Working directly for FCA in Authorisations, Supervision or Enforcement

Qualifications:

• Industry/Compliance qualifications (QCF Level 4 or higher), and/or
• Specialism specific qualification (e.g., CISI Diploma in Investment Compliance).

Skills:

• Strong client and delivery focus
• Excellent written communication skills and the ability to produce accurate and high quality written content
• Strong interpersonal skills