Regional Business Risk Consultant - Greater Manchester

Compliance Resource Solutions Ltd (CRS)
Greater Manchester
08 Feb 2017
08 Mar 2017
Contract Type
Full Time

Our Client is well known throughout the Financial Services Industry and Operates within the IFA Market. They are now looking to meet with an Experienced Compliance / Business Risk Professional.

This is a Field Role and will cover the North West (vast majority Manchester, Liverpool, Bolton area with odd visits in Harrogate/Leeds/Sheffield)


The role of the Business Risk Consultant is to provide an external audit function to our clients membership. The Business Risk Assessments will mainly be to medium to large financial service businesses. The Business Risk Consultant will also be responsible for maintaining a professional relationship with a number of financial services businesses and expected to provide ongoing support out with the usual auditing function.

Job Requirements:

• Reporting to the Team Supervisor.
• Be able to undertake a varied and challenging work load.
• To act with professionalism at all times when dealing with clients.
• To maintain up to date and accurate knowledge in all regulatory and legislative areas which might realistically be of interest to clients.
• To undertake business risk and file review assessments at the clients’ premises, or any other locations to be agreed, and prepare written reports, and other appropriate documentation as appropriate.
• To respond to compliance queries raised by clients, where possible, in a clear and concise manner and ensure that these responses are accurately recorded on the appropriate back office system.
• Be able to deal with the Financial Services Authority (FSA) in conjunction/on behalf of clients.
• To be able to provide guidance to clients beyond compliance issues in areas that will have an effect on a financial services business such as Business Strategy and how to increase profitability.
• Be able to identify clients where there are concerns which might realistically affect the clients’ ability to trade, or affect the client’s ability to fulfill its commercial and contractual obligations.

Key Outputs:

• Maintaining internal records in regard to the interaction with clients including phone calls, emails and meetings.
• Maintaining records of ongoing training undertaken to confirm knowledge is being kept up to date.
• To follow our client's internal compliance procedures including meeting the minimum requirements set out for issuing reports to clients, dealing with queries and updating internal management documents.

Job Challenges & Problem Solving:

• The Business Risk Consultant will need to manage a challenging work load which includes arranging visits to clients and ensuring sufficient time is set aside for preparing visit outputs and dealing with client queries.
• Maintain professional standards in knowledge and ensuring this is adequately recorded for the Team Supervisor to monitor this.
• Maintaining our client’s professionalism and ensuring that advice is not in conflict with other parts of the business.
• Not exposing our client to commercial or reputational risk.

Qualifications / Experience:


• 3-5 years successful experience delivering consultancy services to the intermediary community.
• Ability to manage and deliver a varied and busy workload.
• Detailed knowledge of regulatory framework and regulatory changes within RDR.
• Must have good interpersonal skills and be able to self motivate and also be a team player.
• Understanding of IFA processes and motivations.
• Understanding of regulatory bodies.
• Understanding of the need to blend commercial and regulatory obligations.
• Full Driving licence.

Highly desirable

• Ability to manage and deliver workshops including presenting, leading discussions and exercises, one-to-one instruction, coaching and process interventions.
• Credible speaker on general business issues.
• A good understanding of business strategy.
• Experience in dealing/liaising with Regulators.
• Possible experience of working for the Regulator (Financial Services Authority) or subsequent replacements.
• An understanding of Investment Management.


• Level 4 qualified (post RDR)

There is an Excellent Salary, Benefits Package and Attractive Car Allowance Available!