Regulatory Consultant - Wealth / Asset Management or Private Banking Regulatory Consultant - Wealth / Asset Management  …

Holmes Search
in London, United Kingdom
Permanent, Full time
Last application, 17 Jun 21
75,000 - 90,000
Holmes Search
in London, United Kingdom
Permanent, Full time
Last application, 17 Jun 21
75,000 - 90,000
Posted by:
Jake Wyatt • Recruiter
Posted by:
Jake Wyatt
I am currently working with a leading consulting practice, looking to grow their Buy-side regulatory consulting offering. They are looking for people to help deliver high quality regulatory advice and support to clients involved in the distribution of investments – mainly wealth managers/stockbrokers, financial planners and Private Banks.

Client delivery

  • Take personal responsibility for achieving the agreed billable hours target, ensuring you have a sufficient pipeline of client work
  • 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
    • responding to ad-hoc and routine regulatory queries
  • 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
    • dealing with any complaints quickly and effectively
  • Actively partner with global sector teams to support and deliver on shared projects and responsibilities, where required
  • Adhere to the firm’s Quality Assurance Framework prior to submission to the client
  • Accurately record all client time in the CRM system
  • Ensure all client files are in good order and details of relevant contacts are updated in the CRM system

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 our 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
  • Represent the firm at industry events, promoting our brand
  • Participate in internal events and training sessions such as client briefings and roundtable events
  • Assist the team with marketing and business development activities.
  • Record all touch-points, leads, opportunities and proposals in the CRM system

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
  • Help develop technical capacity within the relevant sectors

You’ll need to be flexible, hands-on and willing to tackle a broad range of matters, which may be outside your main areas of expertise. An ability to grow your network and take advantage of every opportunity to sell our services is also crucial.

Skills & experience

  • Educated to degree level
  • Relevant, Diploma level professional qualification (investment or compliance-related), or willing to study towards
  • 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 investment/wealth management or financial planning sectors and the conduct issues faced by our clients in those sectors.
  • Experience translating regulatory rules and guidance into meaningful, fit-for-purpose and pragmatic solutions for clients
  • Experience managing client relationships

Excellent Microsoft Office skills and experience using a CRM system would be an advantage


  • Exceptional written and oral communication skills
  • Ability to confidently interact with Board and Executive level clients
  • Ability to prioritise multiple projects and engagements whilst meeting tight deadlines
  • Highly motivated individual who thrives in a fast-paced, high-pressure environment
  • Proven ability to manage own workload, and cope with the ‘peaks and troughs’ associated with professional services
  • Commercial acumen, with the ability to spot new opportunities and develop them
  • Entrepreneurial mind-set and ‘can do’ attitude
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