Overview
Senior Compliance Consultant sought to join a growing and dynamic boutique compliance consulting firm based in London.
The firm’s core client base is comprised of asset managers regulated by the FCA, with an ever-increasing list of firms who are also registered with the SEC and NFA/CFTC. The firm is now looking to hire experienced compliance professionals to join the Regulatory Consulting team.
Key Responsibilities
- Acting as the primary compliance resource for a number of retained client relationships
- Providing strategic compliance advice over multiple regulators, anticipating the regulatory compliance needs of clients
- Providing clients with tailored and proportionate regulatory solutions to their compliance challenges, regulatory questions and issues
- Understanding and updating clients on regulatory change and how it impacts their business
- Setting up compliance infrastructures for clients and ensuring these remain “fit-for- purpose”
- Undertaking compliance projects, monitoring reviews, and drafting compliance collateral both internally and externally
- Conducting compliance training
- Building and developing client relationships
- Participating in business development events and initiatives
Skills, Knowledge & Experience
- 5-10+ years experience gained within a compliance, specialist or management consultancy, asset manager (including hedge funds, private equity, real estate and other alternatives), securities firms or a regulator such as the FCA, SEC, NFA, etc.
- Thorough knowledge of the FCA Handbook and of U.S. regulations (SEC and NFA)
- Demonstrable experience of compliance monitoring or similar
- Excellent customer service ethos
- Ability to implement regulatory solutions to address the needs of the client
- Degree educated or similar
- Strong client facing ability
- Excellent verbal and written communication skills
- Ability to multi-task
- Must hold the right to work in the UK
