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Compliance Consultants - Capital Markets

Compliancy Services
Closing date
24 Jun 2021

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Job Details

Compliancy Services Ltd is one of the UK's leading providers of compliance consultancy and regtech services. We are an award-winning company that helps firms become authorised by the Financial Conduct Authority or the Prudential Regulation Authority and supports them thereafter.

Our mission is to build trusted relationships with our clients, provide pragmatic advice and guidance to help them manage their ongoing compliance and regulatory obligations. We seek to empower their staff with focused and relevant compliance training.

We offer a wide range of services spanning sectors including Banking, Capital Markets, Payment Services, Cryptoassets, Consumer Credit, Insurance, Crowdfunding, Fintech and Claims Management Companies.

The role

Due to growth in the business, we are looking to add two experienced regulatory compliance consultants to our Capital Markets team specifically with Private Equity, Hedge Fund and Asset/Wealth Management experience. If you are in-house or are currently already a compliance consultant and are passionate about financial regulation, strive for excellent client service, quality standards and delivery of pragmatic solutions, we want to hear from you.

This role will involve:
  • Carrying out regular compliance monitoring with an interesting and varied range of clients
  • In conjunction will colleagues or on your own, carrying out client project work such as healthchecks and deep-dives/thematic reviews
  • Support FCA applications for authorisation and the build out of the associated compliance infrastructure
  • Proactively undertaking account management activities, and through that building trust and cementing client relationships
  • Being the go-to person for quality regulatory advice, with a deep understanding of relevant FCA Sourcebooks and the ability to interpret and apply them in a practical and commercial way
  • Maintaining knowledge and keeping up to date with sector specific rules, regulations and developments
  • Where relevant and appropriate, producing sector 'Thought Leadership' articles and regulatory updates
  • Helping to build, maintain and evolve service offerings by identifying relevant client solutions and utilising our regtech capabilities
  • Demonstrating willingness to mentor and coach members of the team
  • Exemplifying the firm's values in what you do and say and in particular ensuring quality in everything you do both individually and as part of a team

What you can expect
  • High levels of empowerment and support with the opportunity to make a real difference to our firm and our clients
  • An enviable client base and exposure to varied and challenging projects in a supportive environment
  • A diverse and inclusive team that set high standards, pull together to make it happen and never settle for the status quo
  • A challenging, stimulating 'can do' business environment with scope to build and drive your career
  • A competitive salary with a range of other benefits including health care, health cash plans, pension, access to our staff benefits discount platform and generous annual leave to name some!

How to Apply

We are open to applications who are seeking both full-time and part-time roles as well as flexible working. To apply, please send your CV and a covering letter to There is currently no deadline to apply, however applications will be considered on a first come first serve basis and this opportunity will be closed once the right candidate has been found.

During the COVID-19 pandemic, applicants will be expected to work from home for an initial temporary period. Once lockdown eases, we will expect candidates to be office based in either our Head office, Hitchin, Hertfordshire, or our London office, with some flexibility.
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