Regulatory Consultant (Compliance) - Funds


Our client is an independent, specialist financial services regulatory consultancy with a global offering. We are recruiting for a Senior Consultant within Wealth Management.


Role: Consultant – Funds

To deliver high quality, specialist advice to clients. To maximise our presence within the industry to secure new clients and work.


Client delivery

  • Provide high quality advice and support to clients on a range of regulatory compliance matters.
  • Act as the main point of contact for a portfolio of clients. This may include:
  • 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 target
  • Build and maintain professional working relationships with clients, trade bodies and the regulator(s)
  • Actively seek to increase pipeline by targeting new clients, as well as leveraging existing client relationships to maximise opportunities for up-selling and cross-selling
  • Prepare well-presented, accurately priced proposals and present these to prospective clients
  • Participate in internal events and training sessions


Regulatory knowledge

  • Keep abreast of regulatory developments and understand how client activities may be impacted


Qualifications and Experience

  • Educated to degree level
  • Significant compliance-related 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 and experience of advising funds, private equity, corporate finance, asset management and/or real estate firms
  • Experience translating regulatory rules and guidance into meaningful, fit-for-purpose and pragmatic solutions for clients
  • Experience managing client relationships


Kenneth O'Connor, UK Account Manager - Your e-Frontiers consultant for this job

Kenneth has been with e-Frontiers for the past 4 years and heads up the UK branch of e-Frontiers. Kenneth comes from a technical sales background having worked in FS and hospitality industries both in Ireland and the UK. Graduated with a degree in Sport Science from UL he has progressed into more commercial roles upon leaving college. For e-Frontiers Kenneth manages the relationships between e-Frontiers and our UK clients across IT, Business and Executive Search and ensures we deliver what we promise. Kenneth is also the Vice-Chair of the London Irish Business Society – the largest Irish networking society in London.