RQC Group is a growing and dynamic London and New York based consulting firm dedicated to helping financial services firms navigate an increasingly complex regulatory environment by providing a high-touch, high-value service in compliance matters in a pragmatic and commercial way.
We advise our clients on a wide range of regulations including from the FCA, ESMA, SEC, CFTC and FINRA. Our clients include investment managers, brokers, market makers and banks who utilise a variety of investment and trading strategies across a broad range of financial instruments. We are known for our outstanding customer service and our collegial environment.
We are looking to hire experienced compliance professionals to join our Regulatory Consulting team. Responsibilities include, but are not limited to:
- Acting as the primary compliance resource for a number of retained client relationships.
- Providing strategic compliance advice, anticipating the regulatory compliance needs of our clients
- Provide resolutions for complex regulatory questions and issues
- Setting up compliance infrastructure for clients
- Undertaking compliance projects, monitoring reviews, and drafting compliance monitoring reports
- Understanding and updating clients on regulatory change and how it impacts their business
- Conducting compliance training
- Building and developing client relationships
- Provide support and participate in client sales presentations
Key Skills / Experience
- 3 - 5 years experience gained within a compliance, specialist or management consultancy, asset manager (including hedge funds, private equity, real estate and other alternatives), securities firms or a regulator.
- Knowledge of the FCA Handbook
- Experience of compliance monitoring or similar
- Excellent customer service ethos
- Ability to implement regulatory solutions to address the needs of the client
- Degree educated or similar
- Strong client facing ability
- Excellent verbal and written communication skills
- Ability to multi-task
- Must hold the right to work in the UK