Regulatory Consultant – Investment and Wealth

  • Location


  • Discipline:


  • Job type:


  • Salary:

    £60,000 - £90,000

  • Consultant:

    Emilia Thomas

  • Email:


  • Job ref:


  • Published:

    17 days ago

Job Description:         A great opportunity for someone with a background in consultancy to work in an independent, specialist Global Regulatory Consultancy delivering high quality regulatory advice and support to clients involved in the distribution of investments – mainly wealth managers/stockbrokers, financial planners and Private Banks.   

The client has SME’s covering all aspects of the regulatory space, their consultants come from backgrounds in law, compliance and consulting as well as employing a number of ex regulators. The client is looking to recruit candidates who share their values and has the ability build strong long lasting relationships.


Key responsibilities include:

• Providing high quality advice and support to clients on a range of regulatory compliance matters. This may include:
conducting regulatory reviews
delivering training sessions and workshops for compliance staff and senior management
assisting with authorisations
drafting policies and procedures
• Manage projects, often with multiple workstreams. This will include project planning, budgeting, scheduling, resource management and project close-down.
• Act as the main point of contact for a portfolio of clients.
• Actively partner with global sector teams to support and deliver on shared projects and responsibilities, where required
• Take personal responsibility for achieving the agreed sales credit target
• Build and maintain professional working relationships with clients, trade bodies and the regulator(s)
• Actively seek to increase pipeline by targeting new clients, as well as leveraging existing client relationships to maximise opportunities for up-selling and cross-selling
• Prepare well-presented, accurately priced proposals and present these to prospective clients