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Regional Business Risk & File Review Consultant - North West

Regional Business Risk & File Review Consultant - North West

Our Client are a provider of Outsourced Compliance Services and is well known throughout Financial Services and IFA Industry. They are now looking to meet with an Experienced Business Risk & Compliance Support Consultant.

Purpose of the role:

Our Client aims to build long term relationships with clients and to work with them to help them achieve their aims of running profitable and compliant businesses. A Business Risk Consultant will therefore undertake business risk assessment visits, mainly to medium to large financial service businesses and will help them understand regulatory risks relevant to their business, taking into account their short, medium and long term objectives. The Business Risk Consultant, on a consultative basis, will provide a firm with a bespoke and personalised report detailing the ways in which the risks can be mitigated.

Job Requirements:

  • Be able to undertake a varied and challenging work load.
  • To act with professionalism at all times when dealing with clients.
  • To maintain up to date and accurate knowledge in all regulatory and legislative areas which might realistically be of interest to clients.
  • To undertake business risk and file review assessments at the clients’ premises, or any other locations to be agreed, and prepare written reports, and other appropriate documentation as appropriate.
  • To respond to compliance queries raised by clients, where possible, in a clear and concise manner and ensure that these responses are accurately recorded on the appropriate back office system.
  • Promote our client and the services provided in a positive manner.
  • Be able to deal with the Financial Conduct Authority in conjunction with/on behalf of clients.
  • To be able to provide guidance to clients beyond compliance issues in areas that will have an effect on a financial services business such as Business Strategy and how to increase profitability.
  • Be able to identify clients where there are concerns which might realistically affect clients’ ability to trade, or affect the client or our client's ability to full-fill its commercial and contractual obligations to one another.

Qualifications & Experience Required:


  • 3 - 5 years successful experience delivering consultancy services to the intermediary community.
  • Ability to manage and deliver a varied and busy workload.
  • Detailed knowledge of the regulatory framework.
  • Must have good interpersonal skills and be able to self-motivate and also be a team player.
  • Understanding of IFA processes and motivations.
  • Understanding of regulatory bodies.
  • Understanding of the need to blend commercial and regulatory obligations.
  • Full Driving licence.
  • Able to undertake extensive travel and occasional overnight stays.
  • Level 4 qualified
  • Level 6 or working towards (Ideal)

There is an excellent Salary available (depending on experience) along with a great benefits package, car allowance and expenses!

Required skills

  • Financial Services
  • Risk
  • Risk Assessment
  • Compliance Support
  • File Review

Reference: 35465723

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