Regional File Review & Business Risk Consultant – Crawley

Compliance Resource Solutions Limited
June 22, 2018
Crawley, United Kingdom
Job Type
Secondary Category
Financial Services - Other Financial Services
Min. Experience
5 – 7 years
Min. Qualifications
£50k - £60k PA + Benefits + Car Allowance + Expenses
Willing to Relocate


Our Client is well known within the IFA Market. They are now looking to meet with an experienced Business Risk Consultant to provide an External Audit Function to it's clients.


The role of the Business Risk Consultant is to provide an external audit function to the companies clients. The Business Risk Assessments will mainly be to medium to large financial service businesses. The Business Risk Consultant will also be responsible for maintaining a professional relationship with a number of financial services businesses and expected to provide ongoing support out with the usual auditing function.

Job Requirements:

• Reporting to the Team Supervisor.
• 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 their services provided in a positive manner.
• Be able to deal with the Financial Services Authority (FSA) in conjunction/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 the clients ability to trade, or affect the client or the companies ability to full-fill its commercial and contractual obligations to one another.
• Be willing to undertake project work as dictated by management
• To advise our client of any assistance required in order to meet these key requirements.

Key Outputs:

• Maintaining internal records in regard to the interaction with clients including phone calls, emails and meetings.
• Maintaining records of ongoing training undertaken to confirm knowledge is being kept up to date.
• To follow the companies internal compliance procedures including meeting the minimum requirements set out for issuing reports to clients, dealing with queries and updating internal management documents.
• Delivers fee based support to firms under an appropriate contract for services.
• Introduce firms to other departments or individuals within the company for provision of services wherever possible.
• Maintains our clients reputation as knowledgeable and professional in all areas of financial and business planning.
• Be willing to represent our client at industry and media events and briefings.

Job Challenges & Problem Solving:

• The Business Risk Consultant will need to manage a challenging work load which includes arranging visits to clients and ensuring sufficient time is set aside for preparing visit outputs and dealing with client queries.
• Maintain professional standards in knowledge and ensuring this is adequately recorded for the Team Supervisor to monitor this.
• Maintaining the companies professionalism and ensuring that advice is not in conflict with other parts of the business.

Qualifications / Experience:


• 5 years successful experience delivering consultancy services to the intermediary community.
• Ability to manage and deliver a varied and busy workload.
• Detailed knowledge of regulatory framework and regulatory changes within RDR.
• 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.

Highly Desirable

• Ability to manage and deliver workshops including presenting, leading discussions and exercises, one-to-one instruction, coaching and process interventions.
• Credible speaker on general business issues.
• A good understanding of business strategy.
• Experience in dealing / liaising with Regulators.
• Possible experience of working for the Regulator (Financial Services Authority or subsequent replacements.
• An understanding of Investment Management.


• Level 4 qualified (post RDR)

There is an excellent Salary, Benefits Package and Car Allowance available!

Drop files here browse files ...
We only accept Word Document Files

Related Jobs

IFA Helpdesk - Compliance Support Consultant - Greater Manchester   Greater Manchester, United Kingdom new
June 22, 2018
Senior Frontend Developer - Gibraltar   Gibraltar, Gibraltar new
June 22, 2018
Pension Transfer Specialist - Homebased   Nationwide, United Kingdom new
June 22, 2018