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