Regulatory Compliance Generalist - Consultancy - c.£70k

Holmes Search
London, UK
26 Jul 2019
07 Aug 2019
Contract Type
Full Time
Accountabilities and responsibilities

Client delivery
  • Advise and support clients on a wide range of regulatory focus areas, including:
    • All aspects of Governance, including SMCR
    • CASS
    • MiFIR Transaction reporting
    • Best execution
    • Insurance, mortgage, consumer credit and debt management company conduct matters

Such work may include
  • Carrying out project work
  • Drafting and maintaining policies, procedures and compliance monitoring programmes
  • Developing training materials and assisting in delivering training sessions
  • Assisting with regulatory matters including authorisation applications and variations of permission
  • Carrying out compliance health checks and periodic monitoring
  • Responding to ad-hoc and routine regulatory queries
  • Arrange and help prepare for client meetings
  • Accurately record all client time in the CRM system
  • Ensure that all client files are in good order and details of relevant contacts are updated in the CRM system
  • At all times adhere to the firm's Quality Assurance Framework prior to submission to the client

Business development
  • Foster a professional relationship with clients and contacts, ensuring regular and open communication
  • Actively seek to increase the client base by performing market research and identifying new prospect clients to target
  • Attend relevant industry events to build your network and promote the brand
  • Participate in and where relevant, help to present at internal events and training sessions such as client briefings and roundtable events etc.
  • Assist the team with marketing and business development activities including:
    • Preparing proposals and draft engagement letters
    • Writing articles for the website and social media
    • Preparing marketing material
  • Record all touch-points, leads, opportunities and proposals in the CRM system

Regulatory knowledge
  • Keep abreast of regulatory developments and understand how client activities may be impacted
  • Be proactive in updating both colleagues and clients on relevant regulatory changes and industry news
  • Develop a thorough understanding of clients' businesses and requirements so you can provide relevant and accurate advice
  • Conduct research and assist colleagues with preparing templates and other technical material on topics of interest

Main challenges

The Regulatory Compliance team covers a wide range of topics and service areas and any Associate joining the team must be willing to get involved in work in all of those areas. This will mean in some cases that the Associate will need to work to develop basic knowledge on particular topic areas to prepare themselves for specific pieces of work. The individual will also need to be prepared and able to have conversations with representatives of the client firm at all levels, including having conversations with client firm Board members and senior managers.

Qualifications and experience
  • Educated to degree level
  • Diploma level compliance-related qualification, or prepared to study for one
  • Demonstrable compliance-related experience gained at a financial institution, legal practice, consultancy and/or the regulator
  • Understanding of FCA rules and regulations
  • A particular interest in developing knowledge of governance requirements, CASS, transaction reporting, best execution, and conduct issues for insurance, mortgage, consumer credit and debt management firms
  • Excellent Microsoft Office skills
  • Experience using a CRM system would be an advantage

  • Exceptional written and oral communication skills
  • Ability to prioritise multiple projects and engagements while meeting tight deadlines
  • Highly motivated individual who thrives in a fast-paced, high-pressure environment
  • Detail oriented, with the ability to quickly and effectively summarise complex information into a concise and readable assessment
  • Willingness to be hands-on and to tackle a broad range of matters outside main areas of expertise
  • Entrepreneurial mind-set and 'can do' attitude
  • Confident networking and/or delivering presentations
  • Confident speaking to senior members of staff at client firms

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