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For Companies At a Glance
- Tasks: Lead compliance for clients, providing tailored regulatory solutions and training.
- Company: Join a dynamic boutique compliance consulting firm focused on asset managers.
- Benefits: Enjoy flexible working options and opportunities for professional growth.
- Why this job: Make a real impact in compliance while building strong client relationships.
- Qualifications: 7-10+ years in compliance with SEC experience is a must.
- Other info: Engage in business development and client presentations.
The predicted salary is between 60000 - 84000 £ per year.
THE COMPANY
Our client is a growing and dynamic boutique compliance consulting firm.
They are looking for a Senior Consultant with SEC / CFTC / NFA knowledge.
Their core client base is comprised of asset managers so experience in from the Buy side will be useful.
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 – SEC experience required employer: Compliance Professionals
Contact Detail:
Compliance Professionals Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Consultant – SEC experience required
✨Tip Number 1
Network with professionals in the compliance field, especially those with SEC experience. Attend industry events or webinars where you can meet potential colleagues and clients, as personal connections can often lead to job opportunities.
✨Tip Number 2
Stay updated on the latest regulatory changes from both the FCA and SEC. Being knowledgeable about current trends and challenges in compliance will not only help you in interviews but also demonstrate your commitment to the field.
✨Tip Number 3
Prepare to discuss specific compliance projects you've worked on that relate to asset management or securities firms. Highlighting your hands-on experience will show that you can provide tailored solutions to clients' compliance challenges.
✨Tip Number 4
Consider reaching out to current or former employees of the consulting firm for informational interviews. They can provide insights into the company culture and expectations, which can be invaluable during the interview process.
We think you need these skills to ace Senior Compliance Consultant – SEC experience required
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your SEC experience and compliance expertise. Use specific examples from your previous roles that demonstrate your ability to provide strategic compliance advice and manage client relationships.
Craft a Compelling Cover Letter: In your cover letter, emphasise your understanding of the FCA Handbook and U.S. regulations. Discuss how your background aligns with the responsibilities outlined in the job description, particularly your experience in compliance monitoring and client training.
Showcase Relevant Projects: Include details about any compliance projects you've undertaken, especially those involving regulatory changes or compliance infrastructures. This will illustrate your hands-on experience and problem-solving skills.
Highlight Soft Skills: Don't forget to mention your customer service ethos and relationship-building skills. These are crucial for a role that involves client interactions and business development initiatives.
How to prepare for a job interview at Compliance Professionals
✨Showcase Your SEC Knowledge
Make sure to highlight your experience with SEC regulations during the interview. Be prepared to discuss specific cases where you've successfully navigated compliance challenges related to SEC guidelines.
✨Demonstrate Client Relationship Skills
Since building and developing client relationships is key, come ready with examples of how you've effectively managed client interactions in previous roles. This will show your potential employer that you can maintain strong partnerships.
✨Prepare for Regulatory Change Discussions
Be informed about recent regulatory changes and how they impact asset managers. Discussing these topics will demonstrate your proactive approach and understanding of the compliance landscape.
✨Exhibit Your Training Experience
As conducting compliance training is part of the role, be ready to share your experiences in training others. Highlight any successful training programmes you've developed or delivered, showcasing your ability to communicate complex information clearly.
