Compliance Consultant - Asset Management

Alium Partners
09 May 2017
08 Jun 2017
Contract Type
Full Time

Our Client

A financial services consultancy with expertise in governance, risk and compliance. The team is supported by specialist financial services lawyers and often field multi-disciplinary teams of lawyers and consultants on projects for their clients. The focus of the work spans governance and risk management, not just regulatory compliance.

The Role - Consultant - Asset Management

We are currently assisting in the recruit of a consultant to support their work with asset managers. We seek a hardworking, motivated and creative individual to assist the team in working on a variety of different projects, these include:

  • FCA authorisations and approvals of new business
  • Ongoing regulatory advice to investment managers
  • Assurance reviews
  • Governance, risk and compliance reviews
  • Risk framework design and review
  • Regulatory change programmes and projects
  • Skilled person reviews
  • Root cause analysis, past business reviews, redress and remediation

Experience Required

This role is highly suited to someone with experience within the consultancy environment providing regulatory support within the financial services industry with a key focus in Asset Management.

  • Understanding how an investment manager operates, the operation of regulated and unregulated funds.
  • An appreciation of the key regulatory rules applicable to asset managers
  • Knowledge of asset management and private wealth products and services, including managed accounts, and authorised and/or unauthorised funds
  • Ideally you will have a compliance background within regulatory consultancy