Experienced Managing consultant required to for an independent, specialist financial services regulatory consultancy with a global offering who due to continued growth currently have an opening within the Retail FS team. The MC will be responsible for providing regulatory compliance services through oversight of the execution and continuous improvement of clients’ compliance programs. With particular focus on retail offerings, especially in the mortgage, credit and banking sectors.
Key responsibilities include:
· Leading on authorisations
· deputising for the Skilled Person, and being the day-to-day lead on s166 engagements
· providing regulatory compliance services
· monitoring and maintaining compliance programs for clients;
· managing clients’ registrations with applicable regulators;
· drafting regulatory policies and procedures;
· analysing the regulatory environment for updates that might apply to clients;
· conducting regular compliance program testing, including performing annual compliance reviews based on the clients’ written policies and procedures;
· Update the investment advisers’ compliance programs as necessary to keep them current with new regulatory requirements and best business practices.
· Build and manage a portfolio of clients and provide advice on regulatory matters related to their business as well as leveraging existing client relationships to maximise opportunities for up-selling and cross-selling.
· Build and maintain professional working relationships with clients, trade bodies and the regulators.
· Prepare well-presented, accurately priced proposals and present these to prospective clients.
· Participate in internal events and training sessions such as client briefings and roundtable events.
Qualifications and experience
· Educated to degree level
· Significant compliance-related experience gained at a financial institution, legal practice, consultancy and/or the regulator
· Proven track record of exceeding financial goals and sales targets; consulting experience would be advantageous
· Deep understanding of the FCA’s policies and procedures
· Strong technical knowledge of mortgages, consumer credit and insurance (FCA focussed)