AJB Executive Search Limited
09 May 2017
08 Jun 2017
Contract Type
Full Time

Our client is a highly regarded regulatory consultancy that has deep expertise in all aspects of governance, risk and compliance. The team is supported and complemented by specialist financial services lawyers and we often field multi-disciplinary teams of lawyers and consultants on projects for their clients. The focus of the work spans governance and risk management, not just regulatory compliance.

Our client is specifically seeking torecruit a regulatory consultant to support the work with asset managers. You will be a hardworking, motivated and creative individual and assist the team in working on a variety of different projects.

FCA authorisations and approvals of new business

Ongoing regulatory advice to investment managers

Assurance reviews

Governance, risk and compliance reviews

Risk framework design and review

Regulatory change programmes and projects

Skilled person reviews

Root cause analysis, past business reviews, redress and remediation

Board training

Key responsibilities

Autonomously deliver reports, manage projects or deliver pieces of technical advice under the supervision of more senior team members

Developing sustainable client relationships

Developing strong internal working relationships

Managing workloads


Personal attributes

Preferably a minimum of 3 yeas regulatory consultancy experience

Excellent Academics

Solid 'A’ Levels

Good degree from highly regarded university (2:1) preferred

Excellent written and verbal communication skills

Very hard working and keen to progress

Team player

Fast learner (particularly if you have limited regulatory knowledge)

Essential Requirements - Technical skills

The following technical areas are essential:

Understanding how an investment manager operates, the operation of regulated and unregulated funds.

An appreciation of the key regulatory rules applicable to asset managers

Knowledge of asset management and private wealth products and services, including managed accounts, and authorised and/or unauthorised funds

Preferred Requirements - Technical skills

Good compliance background having worked in a regulatory consultancy, Big 5 or smaller boutique also welcome

A background of asset management control reviews, potential as part of an internal audit, AAF, SSAE, ISAE or other control based reviews of asset managers

Understanding of broad range of regulatory issues

Knowledge of FCA Handbook and related legislation

Ability to interpret and apply new and existing regulation and provide operational advice and support to our clients in implantation of these solutions;

Experience in the Asset Management and/or Private Wealth sector with knowledge of asset management and private wealth products and services, including managed accounts, and authorised and/or unauthorised funds