Compliance Consultant - Funds

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

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