At a Glance
- Tasks: Lead compliance for Appointed Representatives and provide expert regulatory advice.
- Company: Dynamic boutique compliance consulting firm with a focus on asset managers.
- Benefits: Competitive salary, flexible working options, and opportunities for professional growth.
- Other info: Engaging environment with opportunities for business development and client relationship building.
- Why this job: Join a growing team and make a real impact in the compliance landscape.
- Qualifications: 7-10 years in compliance or consultancy with strong client-facing skills.
The predicted salary is between 59400 - 72600 £ per year.
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
Senior Consultant, Regulatory Hosting 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.
StudySmarter Expert Advice🤫
We think this is how you could land Senior Consultant, Regulatory Hosting
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Compliance Professionals looking for candidates who are engaged and informed.
We think you need these skills to ace Senior Consultant, Regulatory Hosting
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Compliance Professionals. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Compliance Professionals
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Compliance Professionals’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
