Principal Consultant

1 month ago

City Of London, United Kingdom Davies - Consulting Division Full time

We are the consulting division of Davies, accelerating business, technology and people performance across financial services including banking, asset and wealth management, insurance, and other highly regulated industries.

We are currently seeking a Principal Consultant with a specialism in KYC to join our team on a permanent basis within our Banking & Markets practice in London.


The opportunity:

The Banking & Markets practice draw on our specialist knowledge and extensive industry experience. From designing target operating models to creating risk-based management dashboards, we deliver transformative change for our clients.


You will be responsible for:


KYC Compliance:

  • As the SME, you must ensure that the transfer agency adheres to KYC regulations, which require financial institutions to verify the identity of their clients. This involves establishing protocols for collecting and maintaining customer identification information, assessing risk levels, and implementing measures to prevent fraud and money laundering.

Defining Processes:

  • The SME is responsible for defining and documenting the processes related to the transfer of securities. This includes outlining steps for:
  • Customer Onboarding: Ensuring that the KYC process is integrated into the onboarding of new clients.
  • Transaction Processing: Establishing clear procedures for the transfer of shares, including verification of ownership and compliance checks.
  • Dividend Distribution: Creating processes for accurate and timely payment of dividends to shareholders.

Regulatory Compliance:

  • The SME must stay updated on regulations affecting transfer agencies and KYC requirements, ensuring that the bank's processes meet legal standards.

Training and Support:

  • Providing training and support to staff involved in the transfer process is essential. The SME will develop training materials that emphasize the importance of KYC and compliance, enabling employees to understand their roles in maintaining regulatory standards.

Risk Management:

  • Identifying potential risks in the transfer process, especially related to KYC, and recommending mitigation strategies is a key responsibility. This may involve implementing additional checks or controls to safeguard against fraudulent activities.

Collaboration with Other Departments:

  • The SME will work closely with compliance, legal, and IT departments to ensure that KYC processes are effectively integrated into the transfer agency’s workflows and technology systems.

Continuous Improvement:

  • Regularly reviewing and refining processes based on feedback, regulatory changes, and technological advancements is crucial for maintaining efficiency and compliance


Your experience


Capabilities required to do the role:


  • Bachelor's degree in a relevant field.
  • Proven and demonstrable experience in KYC analysis within the banking or financial sector.
  • Understanding of Transfer Agency.
  • Knowledge and experience of working with Fenergo.
  • A solid understanding of regulatory compliance requirements.
  • Strong analytical skills and excellent attention to detail.
  • Effective communication and teamworking skills.
  • Proactive attitude combined with a willingness to succeed and to deliver results.
  • ACAMS certification or any other AML certification is a major plus.


About Us


What's important to you is what matters to us…


We are straight-forward, adaptable, and outcomes-focused. We build affinity, work with integrity and we always do what is right for our clients


Our core principles of Expertise, Leadership and Teamwork underline the Davies values of:


  • We are connected
  • We are dynamic
  • We are innovated
  • We succeed together


We live these values by …


  • Caring for the health and well-being of our colleagues
  • Increasing diversity and inclusion within our workforce
  • Encouraging and accommodating flexible and hybrid working arrangements
  • Creating a culture centred on interesting, complex, and challenging work and celebrating success
  • Enjoying a fun, friendly, supportive, and sociable team-based environment
  • Supporting performance driven career progression and providing access to professional skills enhancement via internal learning programs
  • Recognising and celebrating the individual contributions of our colleagues
  • Championing autonomy and empowerment of all our colleagues
  • And if that wasn’t enough…
  • Rewarding success and hard work
  • We offer a competitive basic salary and annual bonus based on performance.


Benefits package includes:


  • Private healthcare via Bupa
  • Health cash back plan via BHSF
  • Generous annual leave plan
  • Company contribution to pension
  • Life assurance
  • Season ticket loan
  • Competitive Employee Referral Program


Inclusion and Diversity

Our Approach – At Davies we welcome different perspectives, support each other’s ambitions, and grow together. We work to build an Inclusive Culture where everyone can succeed.


We value the differences and benefits that a diverse workforce brings to the business. We do not discriminate on the grounds of any differentiating factor and embrace the differences which make people unique.


Actioned through – Davies colleagues will deliver DEI though both local and global actions. It is recognised that different geographies have different cultures, employment legislation and hold alternative views. At Davies, we are committed to building an Inclusive Culture through DEI, and we are respectful of opposing views held to the company’s position.

  • Principal Design Consultant

    1 week ago

    City Of London, United Kingdom People Group Limited Full time

    Job Description:We are seeking a Principal Design Consultant to join our team in London. As a Principal Design Consultant, you will be responsible for providing full CDM/Principal Designer services under CDM 2015 regulations.You will oversee the design risk register, attend design risk reviews, and offer input on safety in design. You will also ensure that...

  • Principal Hydrogen Consultant

    2 weeks ago

    City of London, United Kingdom Allen & York (Built and Natural Environment) Ltd Full time

    Principal Consultant Opportunity in Hydrogen Energy - Commercially FocusedLocation: London Hybrid working (Other locations can be considered)Are you ready to drive impact in the sustainable energy sector? We are searching for a Principal Consultant with significant commercial experience to lead and grow hydrogen energy consulting initiatives. This role is an...

  • Principal Hydrogen Consultant

    3 days ago

    City of London, United Kingdom Allen & York (Built and Natural Environment) Ltd Full time

    Principal Consultant Opportunity in Hydrogen Energy - Commercially Focused Location: London Hybrid working (Other locations can be considered) Are you ready to drive impact in the sustainable energy sector? We are searching for a Principal Consultant with significant commercial experience to lead and grow hydrogen energy consulting initiatives. This role...

  • Principal Hydrogen Consultant

    3 weeks ago

    City of London, United Kingdom CV-Library Full time

    Principal Consultant Opportunity in Hydrogen Energy - Commercially Focused Location: London Hybrid working (Other locations can be considered) Are you ready to drive impact in the sustainable energy sector? We are searching for a Principal Consultant with significant commercial experience to lead and grow hydrogen energy consulting initiatives. This role...

  • Principal Recruitment Consultant

    1 month ago

    City of London, United Kingdom ATA Recruitment Full time

    Principal Recruitment Consultant - Facilities Management (FM) Sector Location: London (Nearest stations: Old Street & Moorgate) Salary: Up to £40,000 (DOE) with uncapped commission, incentives, awards, 25 days annual leave (with a salary sacrifice scheme to purchase more), agile working policy, employee assistance programme, paid volunteer leave, green...

  • Principal Recruitment Consultant

    1 month ago

    City of London, United Kingdom ATA Recruitment Full time

    Principal Recruitment Consultant - Facilities Management (FM) Sector Location: London (Nearest stations: Old Street & Moorgate)Salary: Up to £40,000 (DOE) with uncapped commission, incentives, awards, 25 days annual leave (with a salary sacrifice scheme to purchase more), agile working policy, employee assistance programme, paid volunteer leave, green...

  • Principal Design Consultant

    4 days ago

    City Of London, United Kingdom Brandon James Full time

    Dedicated careers at Brandon James provide opportunities for professional growth. A Principal Designer/CDM Consultant is required to lead exciting projects.A competitive package includes:Salary: £45,000-£55,000 per annumBonus Scheme: Receive bonuses for your contributionsPension: Enjoy a secure future with our 6% contributory pension schemeAnnual Leave: 25...

  • Senior/Principal Consultant

    4 weeks ago

    City of London, United Kingdom La Fosse Associates Ltd Full time

    La Fosse is partnered with a boutique IT Consultancy that is going through an exciting period of growth and is looking for Senior and Principal Consultants to join the team. This is a great opportunity for an experienced individual with a passion for technology to join a like-minded team. Their client-base consists of large blue-chip organisations and other...

  • Senior CDM Consultant/ Principal Designer

    1 week ago

    City of London, United Kingdom The Health & Safety Partnership Full time

    Senior CDM Consultant/ Principal Designer required by a multi-disc construction consultancy to plan, manage, monitor and co-ordinate Health and Safety in pre-construction phases of projects; including identifying, eliminating or controlling foreseeable risks and ensuring designers carry out their duties.You will work with a team of CDM Consultants across a...

  • Senior/Principal Consultant

    4 weeks ago

    City of London, United Kingdom La Fosse Associates Ltd Full time

    La Fosse is partnered with a boutique IT Consultancy that is going through an exciting period of growth and is looking for Senior and Principal Consultants to join the team.This is a great opportunity for an experienced individual with a passion for technology to join a like-minded team. Their client-base consists of large blue-chip organisations and other...

  • Principal Industrial Decarbonisation Consultant

    2 weeks ago

    City of London, United Kingdom Allen & York (Built and Natural Environment) Ltd Full time

    Principal Consultant - Industrial DecarbonisationLocation: London Hybrid working (Other locations can be considered)We are seeking a Principal Consultant with strong commercial acumen to join a team dedicated to advancing industrial decarbonisation solutions. If you have a strategic mindset and a proven ability to develop client relationships and win new...

  • Principal Industrial Decarbonisation Consultant

    3 days ago

    City of London, United Kingdom Allen & York (Built and Natural Environment) Ltd Full time

    Principal Consultant - Industrial Decarbonisation Location: London Hybrid working (Other locations can be considered) We are seeking a Principal Consultant with strong commercial acumen to join a team dedicated to advancing industrial decarbonisation solutions. If you have a strategic mindset and a proven ability to develop client relationships and win new...

  • Principal Industrial Decarbonisation Consultant

    3 weeks ago

    City of London, United Kingdom CV-Library Full time

    Principal Consultant - Industrial Decarbonisation Location: London Hybrid working (Other locations can be considered) We are seeking a Principal Consultant with strong commercial acumen to join a team dedicated to advancing industrial decarbonisation solutions. If you have a strategic mindset and a proven ability to develop client relationships and win new...

  • Principal Consultant

    3 weeks ago

    London, United Kingdom Ventula Consulting Full time

    Principal Consultant – Leading Global Change and Transformation - £130,000pa basic + £6k Travel + Bonus Leading Global Change and Transformation Consultancy now requires a Principal Consultant to grow the Retail & Consumer Goods area of the Business. Collaborating with the London Portfolio Leader, the Principal Consultant will be responsible for...

  • Principal Consultant

    4 weeks ago

    London, United Kingdom Ventula Consulting Full time

    Principal Consultant – Leading Global Change and Transformation - £130,000pa basic + £6k Travel + Bonus Leading Global Change and Transformation Consultancy now requires a Principal Consultant to grow the Retail & Consumer Goods area of the Business. Collaborating with the London Portfolio Leader, the Principal Consultant will be responsible for...

  • Principal Consultant

    4 weeks ago

    London, United Kingdom Ventula Consulting Full time

    Principal Consultant – Leading Global Change and Transformation - £130,000pa basic + £6k Travel + Bonus Leading Global Change and Transformation Consultancy now requires a Principal Consultant to grow the Retail & Consumer Goods area of the Business. Collaborating with the London Portfolio Leader, the Principal Consultant will be responsible for...

  • Lead Principal Designer and CDM Consultancy Director

    1 week ago

    london (city of london), United Kingdom The Health & Safety Partnership Full time

    Job Title: Lead Principal Designer and CDM Consultancy DirectorAbout the RoleWe are seeking an experienced Lead Principal Designer and CDM Consultancy Director to join our team at The Health & Safety Partnership. This is a key leadership position responsible for managing, overseeing, and growing our Principal Designer & CDM Consultancy services business...

  • Principal Consultant

    4 weeks ago

    London, United Kingdom Ventula Consulting Full time

    Principal Consultant – Leading Global Change and Transformation - £130,000pa basic + £6k Travel + Bonus Leading Global Change and Transformation Consultancy now requires a Principal Consultant to grow the Retail & Consumer Goods area of the Business.Collaborating with the London Portfolio Leader, the Principal Consultant will be responsible for...

  • Partner. Principal Designer and CDM Consultancy Services

    1 month ago

    City of London, United Kingdom The Health & Safety Partnership Full time

    Partner required to join a renowned, global, multi-disciplinary construction and property consultancy to lead the Principal Designer & CDM Consultancy services business unit. Role. You will play a key role in managing, overseeing, and growing the business unit. Whilst remaining hands on and client facing, you will lead a team of Consultants, Associate and...

  • Partner. Principal Designer and CDM Consultancy Services

    4 weeks ago

    City of London, United Kingdom The Health & Safety Partnership Full time

    Partnerrequired to join a renowned, global, multi-disciplinary construction and property consultancy to lead the Principal Designer & CDM Consultancy services business unit.Role.You will play a key role in managing, overseeing, and growing the business unit. Whilst remaining hands on and client facing, you will lead a team of Consultants, Associate and...