Regulatory Consultant/Manager (Investments)

14 Feb 2019
13 Mar 2019
Contract Type
Full Time

Our client is a boutique and award-winning Regulatory Consulting practice which helps firms to become authorised by the FCA and PRA, manage their ongoing compliance and regulatory obligations and empower their staff with focused compliance training. Due to ambitious growth plans, they are actively looking to recruit a credible Regulatory Consultant to provide oversight of their Investments focussed team.


The ideal candidate would have outstanding knowledge of financial regulation, a strong awareness of the FCA and PRA regulatory framework as well as the ability to apply the rules to different business models. You would be reporting directly to the Head of Compliance and responsible for providing oversight of a team of 3, and will provide day to day technical compliance support to clients going through FCA processes as well as advising and coaching internal stakeholders. Main clients would be banks, asset managers, dealer brokers, investment managers, lenders etc.


  • 6-8 years of financial services experience in providing regulatory advice -ideally in a Consulting environment
  • Significant experience of dealing directly with the FCA / PRA and an excellent working knowledge of the associated Handbooks and frameworks to a variety of financial services businesses
  • Good knowledge of the investment sector is highly desirable
  • Operational compliance experience gained within a professional services/consultancy practice or within a financial services firm
  • Monitor and oversee the development of a variety of compliance manuals and documents
  • Develop and deliver training workshops to support the internal development of employees and external client training
  • Educated to a degree level (preferred but not essential)
  • A professional approach and excellent communication skills
  • Implacable attention to detail

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