At a Glance
- Tasks: Manage client relationships and ensure compliance with FCA regulations.
- Company: Dynamic consultancy firm focused on digital finance compliance.
- Benefits: Competitive salary, professional development, and networking opportunities.
- Other info: Opportunity to attend industry events and build a strong professional network.
- Why this job: Join a team where your expertise shapes the future of finance compliance.
- Qualifications: Experience in regulatory compliance and a relevant professional qualification.
The predicted salary is between 60000 - 80000 £ per year.
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 levels of client satisfaction.
- Carry out work relative to firms that wish to apply for FCA authorisation, vary their FCA Permission, effect a Change in Control or a Change of Legal Status.
- Be a go-to ‘Subject Matter Leader (SML)’ on topics as agreed from time to time.
- 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 being 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 is established and as it develops.
- As agreed with your supervisor and/or the relevant SML lead, research specific technical issues.
BUSINESS DEVELOPMENT:
- Identify new business opportunities (cross selling) within the existing client base, particularly the clients you service.
- 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 a role gained 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.
Senior Consultant - Digital Finance Compliance in Slough employer: Austin Andrew
As a Senior Consultant in Digital Finance Compliance, you will thrive in a dynamic and supportive work environment that prioritises employee growth and development. Our company fosters a culture of collaboration and innovation, offering extensive training opportunities and the chance to engage with industry leaders at various events. Located in a vibrant city, we provide a competitive benefits package and a commitment to work-life balance, making us an exceptional employer for those seeking meaningful and rewarding careers in compliance.
StudySmarter Expert Advice🤫
We think this is how you could land Senior Consultant - Digital Finance Compliance in Slough
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Austin Andrew looking for candidates who are engaged and informed.
We think you need these skills to ace Senior Consultant - Digital Finance Compliance in Slough
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Austin Andrew. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Austin Andrew
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Austin Andrew’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
