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Asset Management Regulatory Consultant, Law Firm

£70,000-£85,000 - City of London


Our client is a law firm who has deep expertise in all aspects of governance, risk and compliance.  The asset management team is supported by specialist financial services lawyers.


The team is looking to recruit a consultant to support their work with asset managers and are looking for a hardworking, motivated and creative individual to assist the team in working on a variety of different projects:

  • FCA authorisations and approvals of new business
  • Ongoing regulatory advice to investment managers
  • Assurance reviews
  • Governance, risk and compliance reviews
  • Risk framework design and review
  • Regulatory change programme and projects
  • Skilled person reviews
  • Root cause analysis, past business reviews, redress and remediation


  • Autonomously deliver reports, manage projects or deliver pieces of technical advice under the supervision of more senior team members
  • Developing sustainable client relationships
  • Developing strong internal working relationships
  • Managing workloads


  • Understanding how an investment manager operates, the operation of regulated and unregulated funds
  • An appreciation of the key regulatory rules applicable to asset managers
  • Knowledge of asset management and private wealth products and services, including managed accounts and authorised or unauthorised funds
  • Good compliance background in regulatory consultancy
  • A background of asset management control reviews
  • Understanding of a broad range of regulatory issues
  • Knowledge of FCA handbook and related legislation

Although our team do try to respond to all applications, unfortunately this is not always possible.  Therefore, should we not have contacted you within 5 days of your application you have not been successful on this occasion.


For more information contact Jemma Graffin

Senior Consultant, Regulatory Consulting
Phone: 01732 746 668
Email Jemma

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