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Compliance Consultant - Funds

CLARC Recruitment
Closing date
8 Jun 2022

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Contract Type
Full Time
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We are exclusively recruiting for a leading Consultancy firm looking to hire a Senior Consultant to join their business focusing predominantly on their Fund Management clients. Great opportunity to join a continually expanding consultancy business.

Main Responsibilities

  • Organise the creation of compliance documentation including manuals and suitable frameworks to suit each client's business as it develops.
  • Visit clients on a periodic basis to carry out reviews of compliance monitoring, records, policies and procedures, followed by recommendations and a formal report to the Board.
  • Provide support on FCA notifications and reporting including the online notifications and applications system and the full suite of returns for BIPRU, IFPRU and Exempt CAD Investment Firms.
  • Facilitate the provision of regulatory updates to clients on topics such as Market Abuse, Senior Management Systems and Controls, Conduct of Business and Approved Person Responsibilities.
  • Assess and oversee client's performance against their Compliance Monitoring Program ensuring activities adhere to all applicable laws and regulations.
  • Review all compliance documentation and develop/maintain policies and procedures in line with regulations.
  • Carry out periodic analysis of risks by ensuring risk assessments are undertaken for business units and products.

Job Requirements:

  • At least 3 years Compliance experience working within a buy side focused firm or consultancy.
  • Strong understanding of the FCA/PRA regulatory environment
  • Excellent written and verbal communication skills

The CLARC Guarantee - we 100% guarantee that your CV will never be sent to a client without your prior expressed permission so all of your details are totally secure with us.
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