Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- Tasks: Provide strategic compliance advice and manage client relationships in the asset management sector.
- Company: Join a dynamic boutique compliance consultancy focused on the asset management industry.
- Benefits: Enjoy flexible working arrangements and a clear path for career progression.
- Why this job: Be part of an exciting team with no sales pressure, just pure compliance expertise.
- Qualifications: 7+ years of compliance experience with knowledge of SEC regulations required.
- Other info: Opportunity to work with diverse clients, including hedge funds and private equity firms.
The predicted salary is between 48000 - 72000 £ per year.
We are working with our long-standing client who are a growing and dynamic boutique compliance consultancy dedicated to assisting the asset management sector. They are looking for an experienced compliance generalist with 7+ years experience in either in-house or consultancy, who has knowledge of SEC regulations and experience of the relevant filings involved.
You will act as the primary compliance resource for a number of retained clients, as well as getting involved in ad-hoc regulatory projects. You will provide strategic compliance advice relevant to the FCA and SEC/NFA/CFTC and provide clients with tailored and proportionate regulatory solutions, setting up compliance infrastructures and ensuring these remain fit for purpose. Clients are mainly asset managers, hedge funds and private equity companies, many (but not all) are dual regulated UK/US.
Whilst this is a Consulting role, there will naturally be a need for strong relationship management skills and a willingness to participate in networking events and initiatives. There is a separate sales team, so there are no business development expectations as such. We have placed numerous Consultants with this firm and this is a really exciting time to join the business. They offer good working from home flexibility (most people are in the office 2-3 days a week but you manage your own diary) and a clear progression path.
Contact Detail:
Synchronicity Group Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Consultant/Director - FCA & SEC
✨Tip Number 1
Network with professionals in the compliance and asset management sectors. Attend industry events, webinars, or local meetups to connect with potential colleagues and clients, which can help you gain insights into the role and the company culture.
✨Tip Number 2
Stay updated on the latest FCA and SEC regulations. Subscribe to relevant newsletters or follow regulatory bodies on social media to ensure you are well-informed about any changes that could impact your future role.
✨Tip Number 3
Prepare to discuss specific compliance challenges faced by asset managers, hedge funds, and private equity firms. Having real-world examples ready will demonstrate your expertise and problem-solving skills during interviews.
✨Tip Number 4
Showcase your relationship management skills by highlighting past experiences where you've successfully built and maintained client relationships. This is crucial for a consulting role, so be ready to share relevant stories.
We think you need these skills to ace Senior Compliance Consultant/Director - FCA & SEC
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your 7+ years of experience in compliance, specifically mentioning any work with SEC regulations and relevant filings. Use keywords from the job description to align your experience with what the company is looking for.
Craft a Compelling Cover Letter: In your cover letter, emphasise your strategic compliance advice skills and your experience with FCA and SEC/NFA/CFTC regulations. Share specific examples of how you've set up compliance infrastructures for clients in the asset management sector.
Showcase Relationship Management Skills: Since strong relationship management skills are crucial for this role, include examples in your application that demonstrate your ability to build and maintain client relationships, as well as your participation in networking events.
Highlight Flexibility and Adaptability: Mention your ability to manage your own diary and adapt to a hybrid working environment. This shows that you can thrive in their flexible work culture while still being committed to delivering results for clients.
How to prepare for a job interview at Synchronicity Group
✨Showcase Your Regulatory Knowledge
Make sure to brush up on your knowledge of SEC regulations and FCA compliance requirements. Be prepared to discuss specific regulations and how they apply to the asset management sector, as this will demonstrate your expertise and suitability for the role.
✨Highlight Your Experience
With 7+ years of experience required, be ready to share detailed examples from your past roles. Discuss your experience in both in-house and consultancy settings, focusing on how you've successfully navigated compliance challenges and provided strategic advice.
✨Emphasise Relationship Management Skills
Since strong relationship management is key in this consulting role, prepare to discuss how you've built and maintained client relationships in the past. Share examples of how you've effectively communicated complex compliance issues to clients and tailored solutions to their needs.
✨Prepare for Networking Scenarios
As networking is part of the role, think about your approach to building professional connections. Be ready to discuss any relevant networking events you've attended and how you leveraged those opportunities to enhance your professional relationships within the industry.
