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For Companies At a Glance
- Tasks: Provide strategic compliance advice and solutions for clients in the finance sector.
- Company: Dynamic boutique compliance consulting firm with a focus on client relationships.
- Benefits: Competitive salary, professional development, and opportunities to work with top-tier clients.
- Why this job: Join a growing firm and make a real impact in the compliance landscape.
- Qualifications: 7-10+ years of compliance experience with SEC knowledge required.
- Other info: Engaging environment with opportunities for business development and client interaction.
The predicted salary is between 48000 - 72000 £ 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 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
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 like a pro! Reach out to your connections in the compliance field, especially those with SEC experience. Attend industry events and engage in conversations that could lead to job opportunities.
✨Tip Number 2
Showcase your expertise! Prepare to discuss your knowledge of the FCA Handbook and U.S. regulations during interviews. Be ready to share specific examples of how you've tackled compliance challenges in the past.
✨Tip Number 3
Tailor your approach! When you apply through our website, make sure to highlight your relevant experience with asset managers and your ability to provide strategic compliance advice. This will set you apart from the crowd.
✨Tip Number 4
Follow up after interviews! A quick thank-you email can go a long way. Use this opportunity to reiterate your interest in the role and remind them why you're the perfect fit for their compliance needs.
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 knowledge. We want to see how your background aligns with the role, so don’t be shy about showcasing relevant projects or achievements!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you’re the perfect fit for this Senior Compliance Consultant role. Share specific examples of how you've tackled compliance challenges in the past.
Showcase Your Client Relationship Skills: Since building client relationships is key, include examples of how you've successfully managed client interactions. We love seeing how you’ve provided tailored solutions to meet their needs!
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you don’t miss out on any important updates from us!
How to prepare for a job interview at Compliance Professionals
✨Know Your Regulations
Make sure you brush up on your knowledge of SEC, CFTC, and NFA regulations. Be prepared to discuss how these regulations impact compliance strategies for asset managers. This will show that you’re not just familiar with the rules but can also apply them in real-world scenarios.
✨Tailor Your Experience
When discussing your past roles, focus on experiences that align with the responsibilities listed in the job description. Highlight specific projects where you provided strategic compliance advice or set up compliance infrastructures. This will demonstrate your direct relevance to the role.
✨Showcase Your Client Relationship Skills
Since building client relationships is key, prepare examples of how you've successfully managed client interactions in the past. Discuss any challenges you faced and how you overcame them to maintain strong partnerships. This will illustrate your customer service ethos.
✨Prepare for Compliance Scenarios
Anticipate questions about compliance challenges and be ready to propose tailored solutions. Think of potential regulatory changes and how they might affect clients. This proactive approach will impress interviewers and show your strategic thinking capabilities.
