Compliance Colsultant. Wealth Management/Investments


Job title


Reporting to

Managing Consultant





Main purpose

The Investments team provides regulatory advice and support to firms involved in the distribution of investments – mainly wealth managers/stockbrokers, financial planners and Private Banks.

The purpose of this role is to deliver client work, participate in marketing and business development, assist with technical research and the production of technical materials, and participate more generally in the development and growth of the company.

Accountabilities and responsibilities

Client delivery

  • Advise and support clients on a wide range of regulatory focus areas, including:
    • Suitability (of managed portfolios and advisory recommendations) and appropriateness
    • Product Governance
    • Preparing for regulatory change (e.g. SM&CR)
    • Inducements and conflicts of interest
    • Financial promotions
    • Complaint handling

Such work may include

    • Carrying out project work for clients
    • Drafting and maintaining policies, procedures and compliance monitoring programmes
    • Developing training materials and assisting in delivering training sessions (e.g. to staff, SMFs and Board members)
    • Assisting clients with regulatory processes including authorisation applications, variations of permission and changes of control
    • Carrying out compliance health checks and periodic monitoring (including client file reviews)
    • Regulatory due diligence on acquisition targets
    • Responding to ad-hoc and routine regulatory queries
  • Arrange and help prepare for client meetings
  • Accurately record all client time in the CRM system
  • Ensure that all client files are in good order and details of relevant contacts are updated in the CRM system
  • At all times adhere to the firm’s Quality Assurance Framework prior to submission to the client


Business development

  • Foster a professional relationship with clients and contacts, ensuring regular and open communication
  • Actively seek to increase client base by performing market research and identifying new prospects to target
  • Attend relevant industry events to build your network and promote the brand
  • Participate in and where relevant, help to present at Company events and training sessions, such as client briefings on topical regulatory issues and roundtable events aimed at compliance professionals from Wealth Management firms
  • Assist the team with marketing and business development activities including:
    • Preparing proposals and draft engagement letters
    • Writing articles for the website and social media
    • Preparing marketing material
  • Record all touch-points, leads, opportunities and proposals in the CRM system

Regulatory knowledge

  • Keep abreast of regulatory developments and understand how client activities may be impacted
  • Be proactive in updating both colleagues and clients on relevant regulatory changes and industry news
  • Develop a thorough understanding of clients’ businesses and requirements so you can provide relevant and accurate advice
  • Conduct research and assist colleagues with preparing templates and other technical material on topics of interest

Qualifications and experience

  • Relevant, Diploma level professional qualification (investment or compliance-related), or willing to study towards
  • Demonstrable compliance-related experience gained at a financial institution, legal practice, consultancy and/or the regulator
  • Good understanding of FCA rules and regulations
  • A particular interest in developing knowledge of the investment management or financial planning sectors and the conduct issues faced by our clients in those sectors.
  • Excellent Microsoft Office skills
  • Experience using a CRM system would be an advantage




Conor Byrne, Director, Banking and Financial Recruitment - Your e-Frontiers consultant for this job

With over 15 years of experience working in Financial Services in Sydney, Dublin and Hong Kong, Conor joins e-Frontiers as Director of Banking and Financial Services. He has worked for State Street and previously for Goldman Sachs and JP Morgan, Conor brings a wealth of international experience within Financial Services. Having Managed large teams and being a hiring manager himself, Conor has a strong knowledge and hands on experience across a range of financial products, instruments as well as regulatory requirements. With Domain experience and a large network across a number of areas Conor and team add value to both Clients and Candidates

Specialises in: Hedge Fund administration, Private Equity, Asset Management, AML/KYC, Custody, Middle office, Compliance, Transfer Agency