The role involves conducting business risk assessments for financial advice and investment management firms to strengthen their regulatory frameworks. You will manage client queries for the Discretionary Investment Management team and produce detailed personalized reports.
Business Risk Consultant
Department: Business Risk
Employment Type: Permanent - Full Time
Location: Remote - UK
Reporting To: Head of Discretionary Investment
Description
We’re looking for an experienced Business Risk Consultant to join a high-performing compliance consultancy team supporting financial advice and investment management firms across the UK. Role Overview
This is a client-facing, advisory role where you’ll partner with firms to assess and strengthen their regulatory frameworks—helping them balance commercial success with robust compliance.
Why Apply?
You'll have a varied portfolio of clients across both advisory and discretionary firms
You'll expand your regulatory knowledge
You'll have the opportunity to engage with the Regulator and have exposure to more complex regulatory work
What you'll do
Take primary responsibility for managing client queries sent to the Discretionary Investment Management (DIM) team with support from the rest of the team.
Undertake business risk assessments either remotely from home or at the client’s premises, or any other locations to be agreed.
Prepare detailed and personalised written reports, and other appropriate documentation as appropriate.
Manage a workload which includes arranging business risk assessments and other client related activity to clients and ensuring sufficient time is set aside for preparing visit outputs and dealing with client queries.
Promote threesixty and the services provided in a positive manner.
Be willing to undertake project work as required.
Maintain up to date and accurate knowledge in all regulatory and legislative areas which might realistically be of interest to clients.
What you'll need to succeed:
Essential requirements:
5 years successful experience delivering consultancy services to the intermediary community.
Level 4 Diploma in Financial Services with the motivation to achieve Level 6 and other risk-related qualifications (fully supported by the business)
Experience of working with vertically integrated firms, which includes knowledge of the regulatory requirements which apply to MIFIDPRU firms including both prudential and conduct of business requirements.
A good understanding of vertically integrated firm’s business strategies.
Ability to manage and deliver a varied and busy workload.
Detailed knowledge of the regulatory framework.
Understanding of how investment management / adviser firms operate.
Understanding of the need to blend commercial and regulatory obligations.
Desirable requirements
Ideally, a Level 6 advanced level Financial Services qualification
Experience in dealing/liaising with Regulators.
Experience of working for the Regulator
Your approach to work:
Strong communication and relationship-building skills
Able to manage a varied workload with a high degree of autonomy, while working collaboratively as part of a wider team
Able to work independently as well as part of a team
Professional and credible approach with clients based on experience, qualifications and knowledge
Important to know:
Full Driving licence.
Able to undertake travel and occasional overnight stays.
Location: This is a remote-working, field based role
Right to Work:
Applicants must already hold a legal right to work in the UK without time restrictions and without the need for future sponsorship. We are unable to provide Skilled Worker visa sponsorship.
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