Business Risk Consultant

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 have a varied portfolio of clients across discretionary investment management and financial advice 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 DIM team with support from the rest of the team.
• Undertake business risk assessments remotely or at client premises or other agreed locations.
• Prepare detailed and personalised written reports and other appropriate documentation.
• Manage workload which includes arranging business risk assessments and client related activity, ensuring sufficient time 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 relevant to clients.

Essential requirements

• 5 years successful experience delivering consultancy services to the investment management and intermediary community.
• Level 4 Diploma in Financial Services with motivation to achieve Level 6 and other risk-related qualifications (fully supported by the business).
• Experience working with vertically integrated firms, knowledge of the regulatory requirements apply to MIFIDPRU firms including prudential and conduct of business requirements.
• 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 and financial advice 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 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.

Additional information

• This is a remote-working, field based role.
• Full driving licence required.
• Able to undertake travel and occasional overnight stays.

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.

Equality, diversity, and inclusion

Fintel plc and all the businesses within it adopt a zero-tolerance approach to discrimination on any of the protected grounds in the Equality Act 2010. We are committed to providing equal opportunities to all current and prospective employees regardless of age, disability, sex, sexual orientation, pregnancy and maternity, race or ethnicity, religion or belief, gender identity, or marriage and civil partnership. We aspire to have a diverse workforce because, in our view, diversity enables better business outcomes. We also believe that a more inclusive workplace, where people of different backgrounds work together, ensures better outcomes for all staff. From application to interview, we place inclusion at the heart of all we do.