At a Glance
- Tasks: Support clients with compliance in wholesale investment products and regulatory frameworks.
- Company: High-growth consultancy firm focused on compliance and sustainability.
- Benefits: Professional development, collaborative culture, and a commitment to sustainability.
- Other info: Great opportunity for early-career professionals seeking growth in compliance.
- Why this job: Join a dynamic team and make a real impact in regulatory compliance.
- Qualifications: 1-2 years in Financial Services and a degree preferred.
The predicted salary is between 40000 - 50000 £ per year.
We are seeking a Regulatory Consultant to join the Investments practice of a well-respected, high growth Compliance focused consultancy firm. In this role you will be supporting a range of clients who offer wholesale investment products to both retail and institutional clients with a real breadth of compliance related support.
Key Responsibilities:
- Assisting with the drafting and submission of applications to the FCA for firms who fall in scope with both MiFID and AIFMD directives
- Performing the review of clients' Financial Promotions
- Providing clients with relevant and timely advice on regulatory developments which will impact them
- Conducting regulatory due diligence reviews as part of M&A projects
- Undertaking audits for clients on their existing regulatory frameworks and compiling detailed reports on your findings and recommendations
- Assist clients with the development of regulatory policies and procedures
- Building relationships with the existing client base to become a go-to, trusted advisor for any compliance queries
Experience and Competencies Required:
- 1-2 years’ experience within Financial Services, ideally with existing knowledge of FCA regulations
- Educated to degree level would be preferred
- High attention to detail with the ability to manage multiple projects and work streams at once, demonstrating strong written and verbal communication skills
- Strong desire to develop a career within regulatory compliance and have high motivations of professional development
- Solid work ethic, with ability to work individually and as part of a team on larger projects
- Excellent time-management skills
This is an incredibly high performing area of an already high performing business, so is a great opportunity for any compliance professional relatively early on in their career looking to gain broader exposure and professional development.
Regulatory Consultant- Investments in City of London employer: Coopman Search and Selection | B Corp™
Join a dynamic and rapidly growing consultancy firm that prioritises compliance and ethical business practices. As a Certified B Corporation™, we are committed to sustainability and the well-being of our stakeholders, offering a collaborative work culture that encourages professional development and growth. With a focus on regulatory compliance in the investment sector, this role provides an excellent opportunity for early-career professionals to gain valuable experience and build lasting client relationships in a supportive environment.
Contact Details:
Coopman Search and Selection | B Corp™ Recruitment Team
