FCA Authorisation Consultant

In this role, you will work directly with clients, providing expert advice on FCA regulations, assisting with authorisation applications and drafting essential compliance materials. You will be responsible for overseeing the end-to-end authorisation process, liaising with the FCA and ensuring firms meet all necessary regulatory obligations.

You will conduct compliance monitoring reviews, update policies and registers and assess how regulatory developments impact clients. Additionally, you will collaborate with internal teams and external stakeholders to deliver a comprehensive compliance framework tailored to each firm’s needs. This is an exciting opportunity to be at the forefront of regulatory compliance, supporting firms in achieving and maintaining FCA authorisation while helping them navigate an evolving financial landscape.

• Application Preparation & Regulatory Compliance: Assist firms in preparing comprehensive application packs for FCA authorisation, including regulatory business plans, compliance manuals, financial projections and application forms. Complete authorisation application forms, assist proposed persons in completing their personal questionnaires, and gather the required KYC documentation. Ensure firms meet all necessary license conditions and continue to comply with the FCA regulations.
• Regulatory Guidance & Process Management: Provide expert advice on FCA regulations, expectations and best practices to help firms navigate the regulatory landscape effectively. Oversee the end-to-end FCA authorisation process, including drafting application materials, liaising with the FCA and addressing any queries raised during the assessment. Communicate with firms and assist in the communication with the FCA regarding authorisation and compliance matters.
• Policy Development & Compliance Monitoring: Draft, review and update compliance frameworks, policies, business plans, risk management strategies and anti-money laundering procedures tailored to firms’ operations. Perform regular monitoring of regulations to ensure firms adhere to compliance standards and fulfil their regulatory obligations. Review and analyse new regulations and advise firms on how these changes may impact their operations.
• Training & Internal Coordination: Provide training and support to firm staff to foster a culture of compliance and regulatory awareness. Work closely with internal teams and external stakeholders, including legal, corporate, accounting, tax and internal audit departments, to ensure a comprehensive approach to compliance.
• Client Advisory & Business Support: Offer tailored advice and solutions to firms on regulatory queries and challenges. Act as a key point of contact for firms, engaging with their personnel and management to maintain compliance and regulatory efficiency.

Qualifications and Requirements:

• Minimum 5 years of relevant compliance consulting experience in the financial or professional services industry, demonstrating advisory skills.
• Degree in law, accounting, finance or a related field, preferably along with professional qualifications such as Chartered Institute for Securities & Investment (CISI).
• Strong organisational and time management skills, with the ability to prioritise tasks and manage expectations under pressure.
• Excellent communication and interpersonal skills, with confidence in engaging clients and internal teams effectively.
• Self-motivated, proactive and solutions-driven, with an appetite for learning and self-development.
• Ability to work independently and as part of a team, demonstrating professionalism, diligence and attention to detail.
• Client-focused mindset, ensuring tailored support and effective regulatory guidance.
• Solid understanding of the FCA's objectives, the FCA Handbook and UK financial regulations.
• Strong working knowledge of compliance frameworks, regulatory obligations and financial services operations.

Benefits/Remuneration:

• Unique career growth opportunities in a fast-growing sector, working alongside experienced specialists and consultants.
• Exposure to a global clientele, gaining valuable first-hand experience in compliance matters for regulated entities.
• Competitive remuneration package, including a discretionary performance-related bonus based on qualifications and experience.
• Flexible working arrangements such as work-from-home options.
• In-house and external training courses to support professional development.
• Career advancement opportunities with clear pathways for growth.
• Additional benefits, including teambuilding activities, corporate events and personal development opportunities.