Wealth & Investment Lead Consultant – Financial Services AdvisoryMy client provides high-caliber regulatory and risk management consulting to financial services firms.
They believe in a proportionate, client-centric approach that tailors' solutions to the unique needs of each regulated firm.
As they expand the team, they are looking for an individual with expertise in investment advisory and wealth management to join them in delivering insightful, practical, and impactful compliance support.Role Overview:You will play a leading role in client engagements, taking ownership of projects and building strong, long-term client relationships.
This is a hands-on role, where you will leverage your expertise in FCA Conduct of Business (COB) rules to guide clients through a range of compliance challenges.
From s166 assurance reviews to compliance health checks, you'll work closely with clients on every stage of the retail product lifecycle.
They're looking for someone who thrives in a dynamic environment, thinks independently, and is motivated to propel both the business and their career to the next level.Key Responsibilities:Client Advisory and Project LeadershipProvide expert guidance on risk management principles, particularly within investment advisory and wealth management, with in-depth knowledge of FCA COB rules.Manage client projects and workstreams, ensuring high-quality outcomes within budget.Oversee the creation of client deliverables such as pitch decks and compliance propositions, often supervising and mentoring junior consultants.Represent the firm's brand and services to clients and seeking out new business opportunities.
Regulatory and Industry InsightKeep abreast of regulatory trends and developments, articulating insightful perspectives to clients on emerging topics (e.g., enforcement actions).Develop new and innovative service offerings aligned with market needs and client expectations.Maintain a deep understanding of the regulatory framework, future developments, and best practices for the wealth management and investment advisory sectors.
Relationship BuildingBuild and nurture lasting, trusted relationships with clients, industry bodies, and colleagues.
Person Specification:Experience and Skills:Minimum of 10 years of relevant experience in the industry, regulatory, or consulting space, with at least 5 years in consulting.Comprehensive knowledge of the UK regulatory framework and proven experience with FCA COB rules, ideally across wealth management, IFA, and retail investment sectors.Exceptional written and verbal communication skills, with the ability to influence and engage stakeholders at all levels.Demonstrated track record in managing client and stakeholder relationships.Proficiency with Microsoft Office tools, with an eye for detail and accuracy.Attributes and Mindset:Entrepreneurial spirit with the desire to drive business success.Strong leadership qualities, with the ability to set direction and guide others with minimal oversight.A long-term mindset with a commitment to self-improvement and professional growth.Resilient with the ability to learn from setbacks.A strong network of compliance professionals and a genuine interest in building relationships within the industry.Ability to listen actively, communicate persuasively, and demonstrate authenticity and personality at work.
If you are passionate about risk management, eager to make a tangible impact, and excited by the opportunity to work in a nimble, small-firm environment, my client offers a unique platform for professional and personal growth.If you're ready to bring your expertise and entrepreneurial mindset to a collaborative, client-focused firm, apply today.