Client delivery Take personal responsibility for achieving the agreed billable hours target, ensuring you have a sufficient pipeline of client work 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.
This includes project planning, budgeting, scheduling, resource management and project close-down.
Act as the main point of contact for a portfolio of clients.
This may include: responding to all queries, managing client expectations and delegating work, where necessary reviewing the work of colleagues and providing constructive feedback ensuring accurate invoicing, timely payment and assisting the Finance team in resolving any queries dealing with any complaints quickly and effectively 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 credit target Build and maintain professional working relationships with clients, trade bodies and the regulator(s) Actively seek to increase the firm's 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, promoting the company brand Participate in internal events and training sessions such as client briefings and roundtable events Assist the team with marketing and business development activities.
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 Develop a thorough understanding of clients' businesses and requirements so you can provide relevant and accurate advice Help develop 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 exceeding financial goals and sales targets; consulting experience would be advantageous 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.
Experience translating regulatory rules and guidance into meaningful, fit-for-purpose and pragmatic solutions for clients Experience managing client relationships Excellent Microsoft Office skills and experience using a CRM system would be an advantage Competencies Exceptional written and oral communication skills Ability to confidently interact with Board and Executive level clients Ability to prioritise multiple projects and engagements whilst meeting tight deadlines Highly motivated individual who thrives in a fast-paced, high-pressure environment Proven ability to manage own workload, and cope with the 'peaks and troughs' associated with professional services Commercial acumen, with the ability to spot new opportunities and develop them Entrepreneurial mind-set and 'can do' attitude