THE COMPANY:
Our client is a growing and dynamic boutique compliance consulting firm. Their core client base is comprised of asset managers regulated by the FCA.
THE RESPONSIBILITIES:
- Acting as the primary compliance resource for a number of retained client relationships
- Providing strategic compliance advice over multiple regulators, anticipating the regulatory compliance needs of our clients
- Providing clients with tailored and proportionate regulatory solutions to their compliance challenges, regulatory questions and issues
- Understanding and updating clients on regulatory change and how it impacts their business
- Setting up compliance infrastructures for clients and ensuring these remain “fit-for- purpose”
- Undertaking compliance projects, monitoring reviews, and drafting compliance collateral both internally and externally
- Conducting compliance training
- Building and developing client relationships
- Participating in business development events and initiatives and involvement in client sales presentations
EXPERIENCE REQUIRED:
- MUST have SEC exposure
- 7 – 10+ years’ experience gained within a compliance, specialist or management consultancy, asset manager (including hedge funds, private equity, real estate and other alternatives), securities firms or a regulator such as the FCA, SEC, NFA, etc.
- Thorough knowledge of the FCA Handbook and of U.S. regulations (SEC)
- Experience of compliance monitoring or similar
- Excellent customer service ethos
- Ability to implement regulatory solutions to address the needs of the client
For further information please contact Duncan Jeffery
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Senior Compliance Consultant/ Director in London employer: Compliance Professionals
As a leading private bank in the UK, we pride ourselves on fostering a dynamic and inclusive work culture that prioritises employee development and well-being. Our commitment to compliance excellence not only ensures a rewarding career path for our Financial Crime Compliance Lead but also offers unique opportunities for professional growth through continuous training and mentorship. Join us to be part of a prestigious institution where your expertise in wealth management will be valued and your contributions will make a meaningful impact.
