We are partnered with a leading compliance and financial crime consultancy business who are looking to bring in an experienced compliance professional at Manager/Senior Manager level on a 12 Month FTC to support their Investments practice on a strong pipeline of M&A due diligence work across the Wealth Management space. Given this, they are looking for individuals who have hands‑on experience of regulatory due diligence on wealth management, financial planning, discretionary management or pensions businesses, ideally involving IFA acquisitions.
Key Responsibilities:
- Conducting detailed regulatory due diligence reviews of wealth management, financial planning, discretionary management and pensions businesses as part of M&A engagements.
- Reviewing client advice files to assess quality, compliance and adherence to regulatory requirements, identifying any risks, issues or remediation actions arising from those reviews.
- Assessing the potential financial, reputational and regulatory impact of identified shortcomings and producing clear, evidence-based findings reports with practical recommendations to mitigate risk.
- Maintaining an up-to-date knowledge and understanding of FCA regulation, including Suitability, Governance, Conflicts of Interest, Inducements, Financial Promotions and Training and Competence and the other areas applicable to primarily MiFID and non-MiFID wealth management firms, SIPP operators and, where relevant, SSAS administrators.
- Supporting the Partner and Senior Managers in the delivery of client projects, including oversight, task delegation and quality assurance, as well as mentoring junior team members.
- Strong client relationship and key account management, becoming their trusted advisor.
Experience & Technical Knowledge Required:
- Demonstrable experience supporting M&A and regulatory due diligence workstreams, ideally involving wealth management or IFA acquisitions.
- Experience reviewing investment, pension, retirement and discretionary management advice files.
- Practical knowledge of Consumer Duty, investment and pension advice suitability, client outcomes, record keeping and conduct risk.
- Proven ability to work autonomously, prioritise competing demands and deliver multiple reviews within agreed timescales.
As a Certified B Corporation, we take a different approach to how we do business. Recognised on an international scale as a company that operates for good, we value & incorporate the interests of all of our stakeholders to grow in the most sustainable manner. As a recognised Great Place to Work, we ensure our workplace is one that fosters professional growth and collaboration.
#J-18808-Ljbffr
Regulatory Consulting Manager- Mergers & Acquisitions- 12 Month FTC employer: Coopman Search and Selection | B Corp
As a Certified B Corporation™ and a recognised Great Place to Work™, our company stands out as an exceptional employer in the regulatory consultancy sector. We offer a supportive and collaborative culture that prioritises professional growth, with ample training and development opportunities while working with prestigious financial services clients. Located in a vibrant area, we are committed to sustainable business practices that benefit all stakeholders, making this role not just a job, but a meaningful career path.
Contact Details:
Coopman Search and Selection | B Corp Recruitment Team
