Senior Regulatory Compliance Consultant (Retail)


My client requires an experienced, talented and ambitious SENIOR REGULATORY COMPLIANCE CONSULTANT to take a leading role in all of their retail client work.

Key Role Responsibilities:

  • Be central to all client interactions – running projects, taking responsibility for delivery, and managing client relationships.
  • Own the ultimate responsibility for delivering high-quality client work, pitch decks and propositions, often supervising the work of others at the same time.
  • Demonstrate technical proficiency in the principles of risk management, showing deep regulatory knowledge and experience of applying FCA rules–across retail firms.
  • Address potential risks before they become issues and understand that the team is far greater than any individual, with a strong desire to propel the business to the next level.
  • Undertake different types of projects such as: s.166 assurance review projects, compliance health checks, and bespoke support projects.
  • Provide compliance support at each stage of the retail product lifecycle; from design and distribution of financial products, pricing, marketing, and advertising, customer communications, quality of advice, suitability practices, management of conflicts of interest, complaints handling, conduct of business rules and guidance, portfolio management, best execution and PA dealing, and retail conduct risks associated with each of these stages.
  • Adopt a proportionate approach to your work, understanding that each regulated firm will have different needs to each other.

Key Role Requirements (Essential):

  • Alignment to the company values at all times
  • Considerable relevant experience (from industry, consulting, regulator or a mixture of all)
  • Comprehensive working knowledge of the UK regulatory framework
  • Strong written and verbal communication skills, with excellent attention to detail
  • Proven track record in managing stakeholder relationships, with a commercial mindset and a strong network of professionals in risk and compliance roles
  • Ability to lead and influence – setting the direction with minimal supervision
  • Long-term mindset, a passion for self-improvement, and listens more than talks

Key Role Requirements (Desirable):

  • Previous consulting experience would be the ideal prerequisite
  • Experience of delivering audit / independent reviews
  • Relevant qualifications e.g. from ICA, CISI
  • Experience of drafting policy, procedure, and risk assessments, often in challenging circumstances where stakeholders have needed to be influenced

If you’d like to express an interest in this opportunity, please apply today or contact 07891 708 941 / for further information.

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