Investment Management Consultant

1951
Contract - apply for details

We are currently working with a leading Consulting Firm to resource Regulatory Consultants to strengthen their Asset & Wealth capabilities. This firm are looking to add Risk & Regulatory specialists at Manager level. This is due to an increased focus on Asset & Wealth Managers conduct. This has triggered Investment Management clients to seek advice as they begin adapting to the change.

Responsibilities:

  • Running work streams and leading projects liaising daily with clients on site.
  • Accountable for carrying out conduct reviews, preparing reports and delivering presentations of findings and providing recommendations to management team
  • Providing regulatory expertise and identifying the impacts of prudential regulation and support clients as they adapt to the challenges of the new regulatory landscape.
  • Consider all consultation papers from all regulatory bodies and provide input to process of new policies
  • Identify and document key systems and controls for demonstrating compliance with applicable FCA regulations
  • Networking with existing clients and help win new business by carrying out various marketing and sales activities.
  • Participate in people development and mentoring both in-house and on-site with clients

Experience Required:

  • Extensive track record of delivering Regulatory Change projects within Asset/Wealth Management firms.
  • Thorough understanding of MiFID II regulatory requirements.
  • Experience in providing Regulatory advice to clients
  • Knowledge of the FCA's supervisory approach to Asset & Wealth Management firms
  • Understanding the FCA regime including thematic reviews, FCA market studies and the introduction of SMCR.
  • Understanding of the impacts of prudential regulation; ICAAP etc.
  • Proven experience working within Compliance & Government structures, Operations and Industry Best Practice in Compliance

If you are interested in this position and want to find out more. Please send an up to date version of your CV to joshua.johnson@thefourthline.co.uk

Managing this Role

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