Job title: Regulatory Advisory Consultant
Job type: Permanent
Emp type: Full-time
Industry: Wealth & Investment Management
Salary type: Annual
Salary: GBP £100,000.00
Location: Egham, UK
Job published: 2024-02-22
Job ID: 32359
Contact name: Luke Warner
Contact email: lwarner@birchlakerecruitment.com

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