Compliance Consultant, Wealth (Bovill Newgate)

at  Bovill Newgate

KNOWLEDGE, SKILLS & EXPERIENCE

• A degree level education, or relevant experience.
• 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.
• Strong technical knowledge of wealth/investment management or financial planning sectors and the conduct issues faced by our clients in those sectors.
• Deep understanding of the FCA’s policies and procedures.
• Experience translating regulatory rules and guidance into meaningful, fit-for-purpose and pragmatic solutions for clients.
• Experience managing client relationships.
• A broad understanding and an appetite to keep learning.
  This role has responsibility for building the pipeline by leveraging existing relationships to maximise opportunities for up/cross-selling. Therefore, prior consulting experience is preferred.
  Given the technical nature of the role, exceptional communication skills and high attention to detail are essential. Successful candidates should also be open to assisting other teams and clients on a broader range of regulatory matters when necessary. A willingness to develop your knowledge across the spectrum and to collaborate on work outside of your main area of expertise is encouraged.

PURPOSE OF THE JOB

Our Wealth & Consumer Finance Practice is looking for a highly motivated, proactive compliance consultant to join the team. The successful candidate will support and assist Bovill’s wealth and investment management clients by providing regulatory advisory services, guidance, and delivery of ongoing support engagements.

MAIN RESPONSIBILITIES

Working directly with clients across the sector collaborating with Bovill’s experienced team of industry specialists, the successful applicant will be responsible for:

• Providing high quality advice and support to clients on a range of regulatory compliance matters.
• Managing regulatory change projects.
• Drafting and maintaining policies, procedures, and compliance monitoring programmes.
• Delivering training sessions and workshops for compliance staff and senior management.
• Completing compliance health checks and periodic monitoring.
• Assisting with regulatory matters including authorisation applications and variations of permission.
• Responding to all queries, managing client expectations and delegating work, where necessary.
• Reviewing the work of colleagues and providing constructive feedback.
• Actively partnering with global sector teams to support and deliver on shared projects and responsibilities, where required.
• Preparing well-presented, accurately priced proposals for presentation to prospective clients.
• Writing comprehensive reports and documentation.
• Assisting the team with marketing and business development activities.
• Responding to ad-hoc and routine regulatory queries.

The role also provides opportunities to represent the company at industry events, promoting the Bovill brand. Additionally, participation in both internal and external events and training sessions, client briefings, roundtable discussions, and training sessions on topical regulatory issues are encouraged.