Compliance Consultant - Wholesale Financial Services Experience Required
Our client, a well-respected Compliance Consultancy Firm, is looking for an experienced Compliance practitioner to take up a challenging and diverse client facing compliance advisory role. The firm predominately advises alternative and traditional fund managers and you will be responsible for your own portfolio of clients and assisting / advising them in all FCA regulatory matters pertaining to their business. Specifically, your duties would include:
• Advising on new policies and procedures and implementing regulatory change, such as EU directives and new FCA requirements.
• Undertaking compliance reviews, assessments and presenting recommendations to Compliance Officers, compliance staff and senior management;
• Providing commercially sound 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 or mock examinations;
• Conducting research, writing articles, and/or 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.
• Subject to client demand there is also the opportunity to work with US colleagues on US regulatory matters / projects (SEC/ CFTC).
The successful candidate is likely to be tertiary educated and have a minimum of 3 years relevant experience of wholesale financial services from working at the FCA, in a compliance consultancy or in an in-house compliance position with a hedge fund, private equity fund manager, asset or wealth manager, investment bank or similar wholesale financial institution. While you must have been exposed to many aspects of compliance and regulatory projects as important will be a sound working knowledge of the Financial Services and Markets Act 2000 and related FCA rules and guidance.
This is an ideal opportunity to join a Global Compliance Consulting business during a continued period of growth where you will be entrusted with your own portfolio of clients.
If this sounds like the next step in your compliance career and you would like a confidential no obligation discussion, please feel free to call David Symes FCA on 020 7330 6966 or send your details to him at email@example.com
Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role. The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.