Alpha Financial Markets Consulting
Senior Manager (Regulatory, Compliance & Risk)
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Senior Consultant – Regulatory Compliance & Risk | Alpha Financial Markets Consulting (Alpha FMC)
About the Role
Alpha Financial Markets Consulting (Alpha FMC) is the leading global consultancy to the asset and wealth management industry. As a boutique management consulting firm, we provide top-tier asset and wealth managers a competitive edge through our unparalleled expertise and industry insights. Founded in 2003 with headquarters in London, we expanded rapidly and successfully went public (IPO in October 2017).
Our client base includes all of the world’s top 20 and 80% of the top 50 asset managers by AUM, with over 870 clients globally. Headquartered in the UK, Alpha operates 17 international offices, including the US, Canada, Luxembourg, France, Netherlands, Switzerland, Denmark, Germany, Singapore, and Australia, employing over 990 full-time consultants.
Our Regulatory Compliance & Risk practice supports clients in meeting regulators’ evolving expectations and ensuring alignment with industry standards. With deep regulatory, risk, and market practice knowledge, we work directly with clients’ exec teams to drive impactful, hands-on change.
The Senior Consultant will lead high-stakes client engagements and play a critical role in shaping regulatory and risk strategy for leading asset and wealth managers. This is a rare opportunity to shape the future of compliance and risk execution within the industry.
Key Responsibilities
- Lead Complex Client Engagements:
- Steer highly successful engagements from start to finish, ensuring strong client satisfaction ratings.
- Manage Alpha’s internal team and external contractors to meet project goals.
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Deliver Strategic Work:
- Develop high-quality deliverables within time and budget constraints.
- Combine diverse stakeholders effectively to achieve partnership-driven outcomes.
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Build Subject-Matter Expertise:
- Be recognised as an expert in regulatory and risk themes among clients and peers.
- Sharpen Alpha’s intellectual property (IP) concerning market trends and compliance challenges.
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Assess and Improve Client Capabilities:
- Audit current processes, analyse organisational reports, and recommend solutions that optimise resource utilisation.
- Conduct research, surveys, and interviews to diagnose organisational challenges.
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Monitor & Stakeholder Engagement:
- Keep track of project progress, manage risks, and ensure key stakeholders remain informed.
- Ensure client projects operate efficiently and yield expected results.
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Stay Ahead of Industry Developments:
- Continuously monitor current business and industry trends to inform client strategies.
- Flag deviations from standard procedures, suggesting improvements where necessary.
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Client & Business Growth:
- Develop long-term client relationships and expand industry networks.
- Contribute actively to business development, supporting Alpha’s growth and client acquisition.
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Financial Account Management:
- Execute effective financial management of client engagements.
Core Requirements
Experience & Knowledge
- 8+ years of proven consulting experience in:
- Compliance, Regulation, Risk, or FCA-within-Financial Services.
- Extensive engagement with blue-chip financial institutions, ideally within asset/wealth management.
- Proven track record of leading in-house or client-side teams on:
- Regulatory change.
- Compliance projects.
- Risk transformation.
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Subject-Matter Expertise
- In-depth knowledge of core regulatory and risk topics (e.g., MiFID II, SFDR, CRD V, cyber risk, operational resilience, fund governance).
- Strong understanding of market dynamics and regulatory trends, particularly in relation to upcoming changes in the industry.
- ability to synthesise complex regulatory frameworks and articulate findings for stakeholders.
Relationship & Influence
- Demonstrated ability in relationship development and client account management.
- A well-developed network of executive industry contacts, with prior experience in business development.
- Initiative and interpersonal skills to:
- Nurture new client relationships.
- Maintain loyalty with existing clients.
- Mentor and coach colleagues.
- Influence senior stakeholders, both within Alpha and clients.
Functional Skills
- Strong skills in communication, presentation, and problem-solving.
- Excellent interpersonal and leadership abilities to:
- Shape opinions.
- Motivate and delegate.
- Fluent in business English, with willingness to travel internationally.
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