Regulatory Compliance Consultant Awm Up-to - London, United Kingdom - eFinancialCareers

eFinancialCareers

Verified Company

London, United Kingdom

3 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

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 closedown.
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 the firm's pipeline by targeting new clients, as well as leveraging existing client relationships to maximise opportunities for upselling and crossselling
Prepare wellpresented, accurately priced proposals and present these to prospective clients
Represent the firm at industry events, promoting the company 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 touchpoints, 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.

Qualifications & Experience

Educated to degree level
Relevant, Diploma level professional qualification (investment or compliancerelated), or willing to study towards
Significant compliancerelated 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, fitforpurpose and pragmatic solutions for clients
Experience managing client relationships
Excellent Microsoft Office skills and experience using a CRM system would be an advantage

Competencies

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 fastpaced, highpressure 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 mindset and 'can do' attitude