Principal Compliance Consultant

Elliott James Consulting Limited
London (Greater)
08 Nov 2017
16 Nov 2017
Contract Type
Full Time

Principal Compliance Consultant - London - £60,000 - £70,000

Elliott James Consulting have an exciting opportunity for a Principal Compliance Consultant to join a leading company based in London.

The duties of the role include:

  • Responsible for own portfolio of clients and assisting/advising them in all FCA regulatory matters
  • Undertaking compliance reviews, assessments and presenting recommendations to Compliance Officers, compliance staff and senior managers
  • Providing commercial regulatory solutions and advice to the senior management of a wide range of entrepreneurial regulated clients
  • Managing or participating in regulatory projects, such as annual compliance audits
  • Conducting research, writing articles and making internal or client presentations on compliance specific issues
  • Assisting with the project management of FCA authorisation applications
  • Keeping up to date with current regulatory developments and informing clients as necessary

The ideal candidate will:

  • Have a desire to help build a business and help clients do the same
  • Be highly motivated
  • Able to think commercial about complex regulatory issues and be able to work to clients demands and deadlines
  • Strong academic background (i.e. degree level or recognized professional qualification), in addition to the CFA Investment Management Certificate - Units 1 and 2 (or equivalent as determined by ACA)
  • Have strong analytical skills and be organised and detail oriented
  • Be professionally educated and/or a compliance practitioner with relevant experience of wholesale financial services from working at the FCA, in a compliance consultancy or in an in-house compliance role
  • Have 5 years or more relevant experience

Principal Compliance Consultant - London - £60,000 - £70,000

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