Compliance Consultancy - SEC Knowledge ESSENTIAL

Overview

We are looking to hire a compliance expert to join a specialist compliance consultancy on a permanent basis. Knowledge of SEC jurisdiction is essential.

Key Responsibilities

• Primary compliance resource for a number of clients
• Implementation of policies as applicable
• Assisting with background screening checks as necessary and liaising with the FCA
• Provision of compliance training, both on-site and remotely
• Review and approval of financial promotion materials
• Updating on regulatory change and how it impacts their business
• Providing support to senior managers where required
• Building and developing client relationships

Key Skills / Experience

• Experience gained within a buy-side compliance manager — including hedge funds, private equity, real estate and other alternatives.
• Or a regulatory consultancy, or the FCA
• Good knowledge of the FCA Handbook
• Experience of compliance monitoring or similar
• Ability to implement regulatory solutions to address compliance needs
• Strong client facing ability
• Excellent verbal and written communication skills