Investments compliance senior consultant

• Job reference

  ICo:SC

• Role summary

  Avyse Senior Consultants take a leading role in all our client work. You’ll be front and centre of our client interactions – running projects, taking responsibility for delivery and managing client relationships. The role is broad and you will have to roll your sleeves up and get stuck in. Senior Consultants will have direct responsibility for delivering high-quality client work, pitch decks and propositions, often supervising the work of others.

  Senior Consultants will be technically proficient in the principles of risk management especially in respect of investment advisory and wealth management.

  You will have deep regulatory knowledge and experience of applying FCA COB’s rules– ideally across wealth management, IFA and retail investment firms.

  You might be a deep subject matter expert in one particular area or have breadth across the compliance framework. You will have, or be forming, clear ideas about your niche / specialism in the market place. Even more important than your technical expertise is your attitude. Senior consultants think for themselves, address potential risks before they become issues and understand that the team is far greater than any individual. Our senior consultants also have a strong desire to propel the business to the next level.

  The type of projects you can expect to be involved with include, independent s166 assurance review projects, compliance health checks, and bespoke support projects. Our work with firms includes compliance support at each stage of the retail product lifecycle; from design and distribution of financial products, pricing, marketing, and advertising, customer communications, quality of advice, suitability practices, management of conflicts of interest, complaints handling, conduct of business rules and guidance, portfolio management, best execution and PA dealing, and retail conduct risks associated with each of these stages. We pride ourselves on our proportionate approach and understand that each regulated firm will have different needs.

• Person specification

  Essential

  • Alignment to our values

  • At least 10 years relevant experience (industry, regulator, consulting)

  • At least 5 years consulting experience

  • Comprehensive working knowledge of the UK regulatory framework

  • Strong written communication skills and excellent attention to detail

  • Strong verbal communication

  • Proven track record in managing stakeholder relationships

  • An entrepreneurial mindset

  • Ability to lead – setting the direction for you and others with minimal supervision or direction

  • A long-term mindset and a passion for self-improvement

  • Desire to work for a small organisation with minimal bureaucracy

  • A strong network of professionals in compliance roles

  • Able to listen more than you talk

  • Ability to influence through persuasive written or verbal communication

  • Desire to be yourself and show your personality at work

  • Fluent with Microsoft Office tools

  • Resilient with a desire to learn from setbacks. We don’t win every pitch

  Desirable

  • Experience of delivering audit / independent review

  • Relevant qualifications e.g. from ICA, CISI etc

  • Experience of drafting policy, procedure and risk assessments, often in challenging circumstances where stakeholders have needed to be influenced

  • Microsoft Office Power user

• Responsibilities

  • Provide expert advice to clients in the disciplines of risk management especially in respect of investment advisory and wealth management, regulatory knowledge and experience of applying FCA COB’s rules– ideally across wealth management, IFA and retail investment firms.

  • Manage projects / workstreams ensuring high quality client outcomes within budget

  • Sell the Avyse brand and services to clients

  • Lead internal initiatives, processes and solutions – seeking to continually improve the effectiveness and efficiency of how we operate

  • Articulate insightful and compelling perspectives and opinions on relevant regulatory trends and activities (e.g. enforcement action)

  • Maintain comprehensive knowledge of regulatory matters and future developments

  • Develop compelling and profitable product and service offerings

  • Lead others through demonstrating great consulting skills and appropriate behaviours

  • Maintain constructive working relationships with clients, colleagues and other stakeholders

  • Initiate, develop and grow long lasting and trusting relationships with clients, prospects and industry bodies

  • Treat the firm like your business and factor this into your actions and decisions

  • Actively seek out opportunities to contribute to developing diversity and inclusivity within Avyse

  • Take responsibility for your own career development and that of Consultants working with you

  • Demonstrate an understanding of the importance of intellectual curiosity

  • Take responsibility for a small portfolio of internal responsibilities – for example around marketing

• Salary

  £83,200 FTE

• Location

  London, hybrid working

  We are not currently able to sponsor work visas.