Business Risk Consultant (Investment Management)
About threesixty
As part of Fintel Services, we are a leading UK provider of compliance, regulatory and business-support services for financial advice firms. We offer practical guidance, training, research and helpdesk support to strengthen governance, help advisers manage regulatory responsibilities and operate more efficiently.
Role overview
threesixty builds long term relationships with its clients and works with them to help them achieve their aims of running profitable and compliant businesses.
A Business Risk Consultant will undertake business risk assessments, consultancy and support visits to a both adviser firms and investment management firms and will help them understand regulatory risks relevant to their business, considering their short, medium and longer term objectives.
What you’ll do
Take primary responsibility for managing client queries sent to the Discretionary Investment Management (DIM) team with support from the rest of the team.
Undertake business risk assessments either remotely from home or at the client’s premises, or any other locations to be agreed.
Prepare detailed and personalised written reports, and other appropriate documentation as appropriate.
Respond to compliance queries raised by clients, in a clear and concise manner.
Manage a workload which includes arranging business risk assessments and other client related activity to clients and ensuring sufficient time is set aside for preparing visit outputs and dealing with client queries.
Promote threesixty and the services provided in a positive manner.
Undertake project work as required.
Maintain up to date and accurate knowledge in all regulatory and legislative areas which might realistically be of interest to clients.
Qualifications and experience
5 years successful experience delivering consultancy services to the investment management and intermediary community.
Ability to manage and deliver a varied and busy workload.
Detailed knowledge of the regulatory framework.
Good interpersonal skills and be able to self-motivate and also be a team player.
Understanding of how investment management / adviser firms operate.
Understanding of the need to blend commercial and regulatory obligations.
Full Driving licence.
Able to undertake travel and occasional overnight stays.
Experience of working with vertically integrated firms, which includes knowledge of regulatory requirements which apply to MIFIDPRU firms including both prudential and conduct of business requirements.
A good understanding of vertically integrated firm’s business strategies.
Experience in dealing/liaising with Regulators.
Possible experience of working for the Regulator.
Approach to work
Able to work independently as well as part of team
Professional and credible approach with clients based on experience, qualifications and knowledge
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