At a Glance
- Tasks: Advise clients on FCA regulations and oversee compliance monitoring reviews.
- Company: Specialist Compliance Consultancy with a strong reputation in investment management.
- Benefits: Competitive salary, flexible working options, and opportunities for professional growth.
- Other info: Great opportunity for career advancement in a supportive environment.
- Why this job: Join a dynamic team and make a real impact in the investment management sector.
- Qualifications: Experience in compliance and knowledge of FCA regulations required.
The predicted salary is between 60000 - 80000 £ per year.
We are recruiting for a specialist Compliance Consultancy firm looking to hire a Senior Consultant in their Investment Management Team. This is an excellent opportunity for an experienced compliance professional with a strong background in investment management to join a highly regarded specialist consultancy.
Working as part of the Investment Firms team, you will advise a diverse portfolio of private equity and venture capital clients on complex FCA regulatory matters, delivering high-quality, commercially focused support that adds real value. The role would suit someone coming from a similar consultancy environment, or an individual with deep buy-side knowledge who is keen to apply that expertise in a client-facing, advisory capacity.
Job Requirements
- Provide support and guidance to clients in relation to FCA regulatory obligations.
- Undertake or oversee periodic compliance monitoring reviews and, as a result, provide clients with formal reports.
- Support clients with the completion of FCA periodic returns.
- Oversee and carry out work relative to firms that wish to apply for FCA authorisation, for Variations of Permission, to effect a Change in Control or a Change of Legal Status.
- Personally deliver or organise and oversee the creation of compliance documentation relevant to each clients’ business.
- Manage and develop designated client relationships, delivering on work as detailed in the contractual scope of engagement to a high level of client satisfaction.
- Ability to write policy and procedure and sales proposals and to research, write and knowledge of FCA Capital Market firm types and their accompanying directives (including AIFMD and MiFID firms).
- Relevant commercial experience involving financial services and technical compliance experience specific to Investment firms.
- Experienced in managing a portfolio of PE/VC clients of various firm size and maturity.
- Knowledge of Capital Market appropriate prudential regimes, including the Investment Firm Prudential Regime.
- Skilled in Compliance Monitoring, auditing, gap analysis and providing professional reports.
Unless otherwise stated, candidates must have the right to work in the UK.
Senior Compliance Consultant – Investment Management employer: CLARC Recruitment
Join a leading Compliance Consultancy firm that values expertise and fosters a collaborative work culture. As a Senior Compliance Consultant in the Investment Management Team, you will benefit from a supportive environment that encourages professional growth and offers opportunities to work with a diverse range of clients. Located in a vibrant area, the firm provides a unique chance to engage with industry leaders while enjoying a balanced work-life dynamic.
StudySmarter Expert Advice🤫
We think this is how you could land Senior Compliance Consultant – Investment Management
✨Tip Number 1
Network like a pro! Reach out to your connections in the investment management sector and let them know you're on the lookout for opportunities. You never know who might have a lead or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by brushing up on FCA regulations and compliance best practices. We recommend doing mock interviews with friends or colleagues to get comfortable discussing your expertise and how it applies to potential clients.
✨Tip Number 3
Showcase your client relationship skills! During interviews, share specific examples of how you've managed client expectations and delivered high-quality support. This will demonstrate your value as a Senior Compliance Consultant.
✨Tip Number 4
Don't forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are proactive about their job search!
We think you need these skills to ace Senior Compliance Consultant – Investment Management
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Senior Compliance Consultant role. Highlight your experience in investment management and compliance, focusing on relevant achievements that align with what we’re looking for.
Craft a Compelling Cover Letter:Your cover letter should tell us why you’re the perfect fit for this role. Share specific examples of how you've supported clients with FCA regulatory obligations and any successful projects you've led in the past.
Showcase Your Client Management Skills:We want to see how you’ve managed client relationships in the past. Include details about how you’ve delivered high-quality support and maintained client satisfaction, especially in a consultancy environment.
Apply Through Our Website:Don’t forget to apply through our website! It’s the best way for us to receive your application and ensures you’re considered for the role. We can’t wait to see what you bring to the table!
How to prepare for a job interview at CLARC Recruitment
✨Know Your FCA Regulations
Make sure you brush up on the latest FCA regulations, especially those relevant to investment management. Being able to discuss specific directives like AIFMD and MiFID will show that you're not just familiar with the basics but are also well-versed in the nuances of compliance.
✨Showcase Your Client Management Skills
Prepare examples of how you've successfully managed client relationships in the past. Highlight your ability to deliver high-quality support and satisfaction, as this role requires a strong focus on client engagement and advisory capabilities.
✨Demonstrate Your Technical Expertise
Be ready to discuss your experience with compliance monitoring, auditing, and gap analysis. Bring along any reports or documentation you've created to showcase your skills in writing policy and procedure, as this will be crucial for the role.
✨Ask Insightful Questions
Prepare thoughtful questions about the firm's approach to compliance and their client portfolio. This not only shows your interest in the role but also gives you a chance to demonstrate your understanding of the complexities involved in compliance consultancy.
