Our client, a highly successful firm operating in the wealth management space, are looking for a Regulatory Consultant to assist in providing Compliance support to a list of directly authorised businesses.
Key Responsibilities:
The role of the Regulatory Consultant will be to support the Compliance function in the delivery of the following requirements:
- Prepare and deliver comprehensive and practical Compliance Support Services, support to clients need and objectives, to assist with the delivery of good customer outcomes.
- Produce and deliver reports and action plans including practical solutions to specific business needs for clients to enable them to develop, monitor and maintain compliance standards.
- Provide constructive feedback to assist with the review, development and maintenance of internal documentation to enable delivery of quality services.
- Develop and maintain effective and proactive working relationships with internal and external stakeholders
- Maintain and develop own technical and regulatory knowledge.
- Take opportunities, both reactive and proactive to assist with the development of additional services and support for clients.
- Support negotiation of Contract Renewals and management of retention risk with internal and external stakeholders.
- Actively support and engage with business projects as required by the Regulatory Manager to meet client needs and business objectives.
- To undertake ad hoc projects and duties as and when required, to support the needs of the business or to achieve departmental objectives.
Experience Required:
- Level 4 Diploma in Financial Services or equivalent.
- J07 or equivalent qualification would be beneficial.
- Previous Compliance experience in the Wealth Management space.