Regulatory Consultant - Wealth Management


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: Wealth Management

To deliver high quality regulatory advice and support to clients involved in the distribution of investments – mainly wealth managers/stockbrokers, financial planners and Private Banks.

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. 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
  • 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
  • Adhere to the firm’s Quality Assurance Framework


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 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
  • Represent the firm at industry events
  • Participate in internal events and training sessions


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 the clients technical capacity within the relevant sectors


Qualifications & Experience

  • Educated to degree level
  • Relevant, Diploma level professional qualification (investment or compliance-related), or willing to study towards
  • Significant compliance-related experience gained at a financial institution, legal practice, consultancy and/or the regulator
  • Proven track record of success in consultancy
  • 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.

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.