B2E Consulting

  • PH-4200; Risk & Compliance Consultant, Investment Management

    Length of role
    6 months
    Start Date
    Placement Type (I/P/I2P)
    Advertised Rate
    £ comp
  • B2E Support Line

    If you would like any help with your application, please contact Hugh Abbott (during business hours) on our B2E Support line - tel: 07917 322 808

    Role Summary

    Do you have experience of working as a Risk & Compliance Consultant within the Investment Management industry?  Are you skilled in using different compliance methodologies, as well as technology, personal expertise / insight and quality assurance processes?


    If so we have an exciting new interim opportunity for you at our client, a prestigious, big 5 Consulting Firm, who require an interim consultant to join their Risk & Compliance monitoring team within the Investment Management sector.  The consultant will be assisting third party clients with delivering their compliance monitoring plans.

    Key Accountabilities

    Forming part of a wider Risk & Compliance Monitoring team, accountabilities will include the Planning and Delivering of high quality Risk & Compliance monitoring activities, including testing of controls, ensuring copliance with relevant regulations or legislation and enabling the delivery of fair customer outcomes, specifically:


    • Consulting with the central team and third party clients to ensure that the selection, scope setting and approach to delivering reviews are planned and targeted effectively;
    • Undertaking review planning, taking into consideration regulatory requirements, breaches, complaints, operational risk MI and KPI information, as appropriate;
    • Utilising expertise from the central team and incorporating required methodologies into the planning and delivery of reviews; 
    • Undertaking and evidencing testing, recording findings and agreeing actions;
    • Identifying issues and appropriate mitigating actions, tracking through to completion
    • Managing communications with the central team and third party client;
    • Completing formal reports;
    • Ensuring all central team and client quality assurance processes are adhered to.

    Mandatory Requirements

    Successful candidates will be able to demonstrate the following:

    • Experience of contributing towards the planning and delivery of risk-based Compliance monitoring plans;

    • Regulatory compliance knowledge within the investment management sector;

    • A good understanding of UK regulatory requirements.

    Optional Requirements

    It will also be advantageous if you have the following qualifications:

    • Relevant Compliance qualification (e.g. International Compliance Association, Chartered Institute for Securities & Investment).
    • Relevant investment management qualification (e.g. Investment Management Certificate, Investment Operations Certificate).

    Data Privacy

    Please note that by applying for this role, you are agreeing to our data privacy policy, and understand that we may send you details of similar roles and invitations to future events.  You can choose whether or not you want these emails at the next stage of the application process, or at any time afterwards.


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