Core-Asset Consulting
05 Aug 2017
15 Aug 2017
Contract Type
Full Time

Job description:

Core-Asset Consulting's client, a leading investment management house in Edinburgh has a brand-new opportunity available for a Regulatory Risk Consultant to provide support to the Regulatory Risk Manager on all regulatory liaison and regulatory risk matters within the business.

We are actively seeking applications from achievement oriented individuals with around 3 years + experience of regulatory risk management and control, coupled with strong knowledge of the asset management industry and a good understanding of the UK financial services regulatory environment. You will be required to have excellent communication skills and a proven ability to work to tight deadlines.


  • Regulatory risk management and controls experience.
  • Asset management knowledge, qualifications and experience.
  • General knowledge of the UK financial services regulatory environment.
  • Effective communication skills both orally and in written form.
  • Strong organisational ability.
  • Educated beyond degree level, ideally with professional qualification such as accountant, lawyer etc
  • Team oriented & adaptable with strong relationship management skills

Core responsibilities:

  • Providing support to the Regulatory Risk Manager, including deputising for them in meetings with stakeholders.
  • Helping to ensure conduct - related regulatory change is being addressed by the first line of defence
  • Proactively seek out better ways of performing conduct-related matters.
  • Engage with the business to support and challenge them regarding their management of regulatory risk.
  • FCA liaison - supporting the Regulatory Risk Manager with:
    • Responding to market monitoring queries
    • Coordination of responses to other FCA enquiries, including thematic visits, risk assessments, information requests etc
    • Drafting and submission of all approved persons filings
  • Liaison with Distribution area to ensure non-monetary benefits are within regulatory risk appetite
  • Assisting with policy log
  • Assisting with conflicts of interest log (including individual conflicts log) and outside business interests log
  • Assisting with oversight of regulatory filings
  • Completion of complaints return
  • Assisting with oversight of literature attestations
  • Assisting the other members of the R&OR team in the following:
    • Approval of PA deals
    • Lifting of insider list restrictions
  • Supporting the Regulatory Risk Manager to embed US regulatory processes including:
    • Form ADV maintenance
    • Policy maintenance
    • Compliance manual maintenance
    • Code of Ethics maintenance
    • Annual Compliance Program review
    • Attestation process


  • Competitive salary
  • Discretionary bonus
  • Generous pension scheme
  • Private healthcare

Job reference: 9792

To apply for this vacancy applicants must be eligible to work in the UK in accordance with the Immigration, Asylum and Nationality Act 2006.

Core-Asset Consulting offers specialist recruitment services to asset management, accounting & finance, asset servicing, legal and the wider financial services sector in Scotland.