Senior Consultant - Digital Finance Compliance in City of London

ROLE RESPONSIBILITIES:

• Manage and develop designated client relationships.
• Deliver on work as detailed in the contractual scope of engagement to ensure a high level of client satisfaction.
• Provide support and guidance to clients in relation to FCA regulatory obligations.
• Assist with or personally undertake periodic compliance monitoring reviews and provide clients with formal reports.
• Support clients with the completion of FCA periodic returns.
• Ensure that established Quality Assessment procedures are followed to maintain high client satisfaction.
• Carry out work relative to firms applying for FCA authorisation, varying their FCA Permission, effecting a Change in Control or a Change of Legal Status.
• Be a go-to ‘Subject Matter Leader (SML)’ on agreed topics.
• Inform clients of relevant changes in regulation.
• Ensure client chargeability target is met or exceeded.
• Review client marketing materials to ensure they meet regulatory requirements.
• Agree and negotiate terms of new client instructions.
• Be aware of time booked to client engagements to ensure clients are serviced within acceptable profitability metrics.
• Provide clients with regulatory training, as agreed based on established competence and capability.

TECHNICAL:

• Produce regulatory updates to clients on topics pertinent to the market.
• Personally do or organise and oversee the creation of compliance documentation relevant to each client's business as it develops.
• Research specific technical issues as agreed with your supervisor and/or the relevant SML lead.

BUSINESS DEVELOPMENT:

• Identify new business opportunities (cross selling) within the existing client base.
• Attend and represent the firm at industry events, conferences, and networking events.
• Build and maintain a network of industry contacts to generate new business.

PERSON SPECIFICATION:

• Regulatory/compliance experience in payments, e-money, crypto-assets, professional compliance services, or regulatory services is essential.
• Relevant professional qualification.
• Ability to ‘hit the ground running’ to take on established clients as part of a team.
• Ability to advise on a wide range of business models.
• Awareness of the commercial aspects of consultancy.

COMPETENCIES:

• Skilled in Compliance Monitoring, auditing, gap analysis, and providing professional reports.
• Skilled in the FCA Application process relevant to the market.
• Ability to interpret client business models and apply rules to them.
• Knowledge of FCA Application and Variation of permission process.
• Knowledge of FCA and EU regulatory frameworks, institutions, and internal operating structures for the market.
• Knowledge of compliance risk frameworks and how to apply them to various firms.
• Knowledge and experience of project management.