Coopman Search and Selection | B Corp™
Regulatory Consulting Manager- Mergers & Acquisitions- 12 Month FTC
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Compliance Manager/Senior Manager
We are partnered with a leading compliance and financial crime consultancy business who are looking to bring in an experienced compliance professional at Manager/Senior Manager level on a 12 Month FTC to support their Investments practice on a strong pipeline of M&A due diligence work across the Wealth Management space. Given this, they are looking for individuals who have hands-on experience of regulatory due diligence on wealth management, financial planning, discretionary management or pensions businesses, ideally involving IFA acquisitions.
Key Responsibilities:
- Conducting detailed regulatory due diligence reviews of wealth management, financial planning, discretionary management and pensions businesses as part of M&A engagements.
- Reviewing client advice files to assess quality, compliance and adherence to regulatory requirements, identifying any risks, issues or remediation actions arising from those reviews.
- Assessing the potential financial, reputational and regulatory impact of identified shortcomings and producing clear, evidence-based findings reports with practical recommendations to mitigate risk.
- Maintaining an up-to-date knowledge and understanding of FCA regulation, including Suitability, Governance, Conflicts of Interest, Inducements, Financial Promotions and Training and Competence and the other areas applicable to primarily MiFID and non-MiFID wealth management firms, SIPP operators and, where relevant, SSAS administrators.
- Supporting the Partner and Senior Managers in the delivery of client projects, including oversight, task delegation and quality assurance, as well as mentoring junior team members.
- Strong client relationship and key account management, becoming their trusted advisor.
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Experience & Technical Knowledge Required:
- Demonstrable experience supporting M&A and regulatory due diligence workstreams, ideally involving wealth management or IFA acquisitions.
- Experience reviewing investment, pension, retirement and discretionary management advice files.
- Practical knowledge of Consumer Duty, investment and pension advice suitability, client outcomes, record keeping and conduct risk.
- Level 4 Diploma qualified, or an equivalent relevant professional qualification.
- Proven ability to work autonomously, prioritise competing demands and deliver multiple reviews within agreed timescales.
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To find out more about the role, please reach out to shane.cassidy@coopman.uk for a confidential discussion.
As a Certified B Corporation™, we take a different approach to how we do business. Recognised on an international scale as a company that operates for good, we value & incorporate the interests of all of our stakeholders to grow in the most sustainable manner. As a recognised Great Place to Work™, we ensure our workplace is one that fosters professional growth and collaboration.
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