Senior Manager (Regulatory, Compliance & Risk)

Alpha Financial Markets Consulting (Alpha FMC) is the leading global consultancy to the asset and wealth management industry. We are a boutique management consulting firm that offers the world’s top asset and wealth managers a competitive edge through our unrivalled expertise and industry insight. Our firm was founded in 2003 at its London headquarters, and its rapid expansion led to a successful IPO in October 2017. Our client base covers all of the world’s top 20 and 80% of the top 50 asset managers by AUM, and we have worked with over 870 clients globally. We are headquartered in the United Kingdom but have 17 offices globally including the United States, Canada, Luxembourg, France, Netherlands, Switzerland, Denmark, Germany, Singapore and Australia. Globally we employ over 990 full-time consultants which enables us to provide deep expertise to our extensive client base.

Alpha’s Regulatory Compliance & Risk practice in Asset & Wealth Management

Our leading Regulatory Compliance & Risk practice enables us to support our clients meet Regulators’ evolving expectations and the business standards our clients seek. Our deep understanding of Regulation, Risk and Market Practice enables us to work closely with our clients to manage regulatory change and enhance the way they operate.

We have built a uniquely qualified team who bring an unrivalled knowledge to the Asset and Wealth sector. We know how the regulator ‘trains its people to think’ and what good practice looks like. We work directly with our clients C-suite to deliver the outcomes they seek – which means we are ‘hands-on in the business’. Please see below an outline of the responsibilities of the role as well as the requirements.

Role Requirements (Skills, Experience and Qualifications):

• A minimum of 8 years proven consulting experience in Compliance, Regulation or Risk or with the FCA
• Significant experience within ‘blue-chip’ Financial Services organisations, preferably Asset or Wealth Managers
• Experience of leading project and/or in-house teams on regulatory change, compliance and/or risk
• Demonstrable subject matter expertise in key regulatory and risk topics
• An in-depth understanding of market trends, drivers and outlook of the Asset and Wealth Management market, in particular in relation the impact of current and future regulation
• Demonstrable proficiency in relationship development and client account management
• A network of executive contacts across the industry and proven experience of Business Development
• Ability to show initiative when dealing with clients, form strong relationships with new clients, and maintain existing relationships.
• Senior stakeholder management and influencing skills, demonstrated with clients and colleagues
• First class communication, presentation and problem-solving skills
• Superb interpersonal skills, with ability to influence and lead
• The ability to mentor and coach other colleagues and lead project teams
• Business language fluency in English and willingness to travel

Role Responsibilities:

• Leading highly successful client engagements to achieve strong client satisfaction rating - including management of Alpha team and potentially contractors too
• Developing strategies and driving high-quality work products within expected timeframes on budget
• Delivering strategies by bringing together diverse stakeholders to work effectively in partnership
• Developing subject matter expertise and IP in relation to regulatory and risk themes and be recognised by clients and colleagues as an expert
• Analysing the client current state, developing proposals, and assisting and implementing recommendations or solutions to ensure the best use of clients’ resources
• Conducting research, surveys and interviews and discussing organisational problems with clients
• Monitoring progress, managing risks and ensuring key stakeholders are kept informed about progress of project and expected outcomes to ensure client efficiency
• Reviewing current processes, analysing client organisational reports and other documentation, researching new methods and procedures and flagging deviations from standard procedures
• Staying abreast of current business and industry trends relevant to the client's business
• Develop and maintain long-term client relationships and networks
• Making a strong contribution towards business development
• Undertaking effective account management including financial management