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Regulatory Consultant – Risk and Compliance

  • Location: London
  • Salary: £75,000 - £80,000 per year
  • Job Type:Permanent

Posted 7 months ago

  • Sector: Compliance
  • Contact: Emilia Thomas
  • Contact Email:
  • Expiry Date: 03 April 2021
  • Job Ref: ET/17268

A great opportunity for an experienced compliance consultant to work for an independent, specialist financial services regulatory consultancy with a global offering who due to continued growth currently have an opening within the team. The consultant will deliver high quality regulatory advice to clients in the specialist areas of mortgages, consumer credit and insurance (FCA focussed).  

Key responsibilities include:


  • Provide 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 includes project planning, budgeting, scheduling, resource management and project close-down.
  • Act as the main point of contact for a portfolio of clients. This may include:
    • responding to all queries, managing client expectations and delegating work, where necessary
    • reviewing the work of colleagues and providing constructive feedback
    • ensuring accurate invoicing, timely payment and assisting the Finance team in resolving any queries
  • Adhere to the firm’s Quality Assurance Framework prior to submission to the client


Business development

  • 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


Regulatory knowledge

  • Keep abreast of regulatory developments and understand how client activities may be impacted
  • Develop a thorough understanding of clients’ businesses and requirements so you can provide relevant and accurate advice


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)