Are you a Regulatory, Risk & Compliance Guru? Do you thrive on having to adapt your expertise and focus depending on client needs, the current regulatory landscape and provide robust and relevant solutions? Are you relationship focused, with a breadth of experience across numerous regulated settings?
If so, this home and field based Business Risk & Regulatory Consultant role may just be the opportunity you’ve been waiting for. You will be tasked with overseeing a variety of quality directly authorised clients, across the M4 corridor and into London as and when required. The client base is largely Chartered organisations ranging from National and Regional IFA’s, DFM’s, Investment Managers etc. requiring your consultative expertise and input on their diverse, and at times complex, technical, regulatory and compliance needs.
The core duties and responsibilities of this role are as follows – though no one day will be the same:
- Deliver a best in class service to directly authorised clients and provide in-depth audit, monitoring and risk management solutions
- Develop and assist with the development of succinct policies and core value propositions for a variety of clients, promoting a bespoke and best in class suite of regulatory services
- Conduct onsite file review services and feedback and coaching sessions around case standards
- Act as the conduit between the client and the FCA as and when required.
- Ensure regulatory updates are interpreted and adhered to with a proactive approach to horizon scanning, anticipating change and how this may impact the business and its clients
- Act as the lynch pin between a variety of internal and external stakeholders for example monitoring, policy, technical helpdesk, file review, regulatory communications ensuring all are working towards the same outcomes and with the same focus
- Feeding into the design and development of business planning, project and implementation plans, suitability checks, technical guidance and relevant training for both internal and external stakeholders
- Well developed and diverse technical, regulatory and compliance knowledge across a variety of settings including DFM and IFA
- Comprehensive all round product and legislative knowledge and understanding
- Excellent relationship management and interpersonal skills with an adaptable, proactive and solutions orientated approach
- Astute business mind with a well-balanced pragmatic yet commercially savvy approach
- Diploma in Financial Planning (or equivalent) as a minimum ideally with progression towards Chartered status
- Well-developed IT skills including Word, Excel etc. with the ability to manipulate data
This is a home based role with frequent travel, ad hoc time will also be spent working out of head office which is based in the North West of the country.
Competitive salary, car allowance, excellent pension, comprehensive benefits package and the opportunity to really make an impact!