Our client is a growing and dynamic boutique compliance consulting firm.
They are looking to hire a senior compliance professional, with regulatory hosting experience.
Their core client base is comprised of asset managers so experience from the Buy side will be useful.
THE RESPONSIBILITIES:
- Primary compliance resource for a number of Appointed Representatives on the platform
- Leading monitoring reviews of Appointed Representatives, both on-site and remotely
- Implementation of policies as applicable and oversight of Appointed Representatives in accordance with the compliance programme
- Provision of compliance training, both on-site and remotely
- Providing compliance advice
- Review and approval of financial promotion materials
- Updating Appointed Representatives on regulatory change and how it impacts their business
- Providing support to RQA’s senior management where required
- Building and developing client relationships
- Involvement in sales and business development activity
EXPERIENCE REQUIRED:
- 7 -10 years experience gained within a compliance or management consultancy, regulatory hosting firm, asset manager (including hedge funds, private equity, real estate and other alternatives), or a regulator such as the FCA.
- Thorough knowledge of the FCA Handbook
- Experience of compliance monitoring or similar
- Excellent customer service ethos
- Ability to implement regulatory solutions to address compliance needs
- Strong client facing ability
For further information please contact Duncan Jeffery
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Senior Consultant, Regulatory Hosting 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.
