Associate Consultant, Capital Markets

Are you looking for a career working in financial services?

Our Capital Markets team is rapidly growing and as a result we are looking to add new members to the team to support the further growth of the business. Our team includes highly experienced compliance consultants from across the financial services industry and also the regulator.

We are looking for entry level candidates who have an understanding of financial regulation or had some exposure to financial services. If you have a business, law or financial related degree or you can demonstrate knowledge of financial regulation we would like to hear from you.

Cosegic is one of the UK\’s leading providers of compliance consultancy and regtech services. We are an award-winning company that helps firms become authorised by the Financial Conduct Authority (FCA) or the Prudential Regulation Authority (PRA) and supports them thereafter. Our mission is to build trusted relationships with our clients, provide pragmatic advice and guidance to help them manage their ongoing compliance and regulatory obligations. We seek to empower our clients with focused and relevant compliance training. We offer a wide range of services spanning sectors including Capital Markets, Payment Services, Consumer Credit, Insurance, Crowdfunding, Fintech and Claims Management Companies.

We are proud to be a certified Great Place to Work employer. The investment in our people is our first priority as they make the Cosegic difference. We have a diverse and inclusive team, with a feeling of family that spans our organisation. We trust and help each other and speak up openly and honestly with no place for egos, politics or silo thinking. We constantly work to create an environment where people feel respected and in which they know their voice will be heard, as this brings out the best in everyone, resulting in the best service for our clients.

Role Purpose

As an Associate Consultant , you will play a supporting role in the Capital Markets Business Unit ensuring best-in-class consultancy services and support to our clients. You will ensure our clients are beyond satisfied with the quality of services they have engaged the firm for, and we deliver on our contractual commitments.

You will work towards your own client book and seeking to establish and ultimately maintain a professional network from which to leverage guidance/advise on potential commercial opportunities.

Personally, you will be an outstanding, positive team member who pursues excellence in all aspects of client services and delivery. You will lead by example, with professionalism and integrity and be comfortable to work across all levels of client work. In addition, we’re looking for someone with a strong desire to grow with us as a company.

Role Responsibilities

Client

• Support and on occasion deliver on work as detailed in the contractual scope of engagement to ensure a high-level of client satisfaction.
• Provide support and guidance to clients in relation to FCA regulatory obligations.
• Assist in undertaking periodic compliance monitoring reviews and providing clients with formal reports.
• Support clients with the completion of FCA periodic returns.
• Ensure that established Quality Assessment procedures are followed to ensure a high-level of client satisfaction.
• Support application work, under supervision, for firms that wish to apply for FCA authorisation, to vary their Part 4A Permission, effect a Change in Control or a Change of Legal Status.
• Support and acquire knowledge by working with ‘Subject Matter Leader(s) (SML(s))’ on topics as agreed from time to time relative to providing technical advice to clients, the team, identifying commercial opportunities relative to regulatory changes, thought leadership relative to those topics and also any changes to our consulting methodology.
• Where appropriate and as agreed, inform clients of relevant changes in regulation and aid in updating of any relevant Manuals, policies, procedures and forms to enable the firm to comply with any new requirements.
• Ensure your client chargeability target is met or exceeded and where there is insufficient work to meet the target, raise such with your supervisor.

Technical

• Provide support to the maintenance of the compliance policies and templates.
• On a competency-based basis, and as directed, review and update compliance manuals, policies, procedures, forms, etc. in line with Cosegic standards and regulatory requirements.
• As discussed and agreed with your supervisor and/or the relevant SML lead, research specific technical issues, and, again as agreed, provide the results of that research to your colleagues and where agreed clients.
• Researching specific technical issues and providing feedback to clients and colleagues.

Team

• Ensure collaborative working, living the Cosegic values to support a great place to work and to achieve our business goals.
• Demonstrate visibility and professionalism.
• Foster and maintain successful relationships with all stakeholders, ensuring their satisfaction.
• Provide practical support to the wider team and clients relative to contracted services and client queries.
• Attendance at weekly team meetings.

Operational

• Responsibility for own timesheet completion (CMP+), which should be updated after each task/as work is done with all to be completed at the end of the business day in order for the firm to monitor and measure client productivity.
• Ensure all internal systems are up to date by maintaining relevant and appropriate records of all activities carried out including, but not limited to: CMP+, PeopleHR, Salesforce, PortALL, Guru, MCC.
• Be aware of, monitor and deliver on chargeability targets as relevant for your role and as agreed.
• To support and recommend any improvements to the internal systems used by the Business Unit and the company.

Business Development

• Identify new business opportunities (cross selling) within our existing client base and in particular the clients you service.

Person Specification

• Degree or equivalent work experience in a regulated environment or professional services, including law practices or related service sectors.
• Technical IT capability and advanced ability of Microsoft applications.
• Ability to write client ready emails.
• Communicates clearly – able to communicate concepts and plans to others ensuring complete understanding.
• Customer Service and Relationship Management – being client focused, owning, responding to, and managing clients’ needs to deliver a fit for purpose solution.
• Flexibility and accountability – ability to manage multiple tasks and prioritise accordingly while maintaining ownership of end result and demonstrates an ability to deal with unfamiliar and ambiguous issues and determine a suitable cause of action.
• Integrity – Actively displays behaviours in line with company values and ethics.
• Manage self-development and learning – keep up to date on current and future developments within own scope of activities/field of expertise.
• Operates well under pressure – able to prioritise, work to tight deadlines, manage multiple high priority tasks.
• Personal impact – demonstrates an understanding of self, and the ability to understand how your behaviour can and does impact others and the firm. Able to modify behaviour to support and develop successful outcomes.
• Planning and organising – demonstrates a pragmatic and organised approach to work and projects.
• Results Orientated – taking ownership of own work and supports others that of others ensuring deliverables are on time and to a high quality. Take a holistic view on the overall achievement of results against targets.
• Strong written and interpersonal skills – advanced ability to liaise with many different stakeholders.

Benefits

• 25 days annual leave + bank holidays + 1 day off for your birthday + 1 day extra for each three years of service (capped at 30 days).
• Hybrid working from our London, Cannon Street office.
• Ability to work from abroad (up to 21 working days per year).
• Life Insurance.
• Private Medical Insurance.
• Health Cash Plan.
• Unlimited one to one coaching.
• Employee Benefits Platform, including Cycle to Work Scheme and Pluxee Card.
• Employee Assistance Programme (including counselling sessions).
• Pension Scheme.
• Learning and development opportunities.
• Volunteering, fundraising and fun company events.

About Us

Cosegic is one of the UK’s leading compliance consultancies that provides assistance with FCA Authorisation, ongoing compliance consulting, prudential services, compliance health checks and regulatory projects. We also provide online training and compliance software across our original software PortAll.

We work together in industry specialist teams, servicing over 800 clients from the following sectors; wholesale investment firms (including hedge funds, private market firms, corporate finance and brokers), capital markets (including asset managers and broker/dealers), wealth management, payment services and cryptoassets, consumer credit and insurance and lending.

Our People

We are proud to be a certified Great Place to Work employer. The investment in our people is our first priority as they make the Cosegic difference. We have a diverse and inclusive team, with a feeling of family that spans our organisation. We trust and help each other and speak up openly and honestly with no place for egos, politics or silo thinking. We constantly work to create an environment where people feel respected and in which they know their voice will be heard, as this brings out the best in everyone, resulting in the best service for our clients.

This is a full-time, permanent role, worked over 5 days (hybrid), Monday to Friday. The role is open to hybrid working between home and our London office (min 2 days per week in the office). There is currently no deadline to apply, however, applications will be considered on a first come first serve basis and this opportunity will be closed once the right candidate has been found. We only accept applicant CVs from individuals who have the right to work in the UK.

* Employees who are at entry level and employees who are in their period of probation, should expect to initially attend more than the expected minimum of two days in the office per week. This is to support their learning, development and progression as the Company believes that learning on the role is much more effective when delivered in person.

Please note, we would like to thank all applicants for their interest in Cosegic Limited. Due to the volume of applications received only those shortlisted will be contacted. If you have not received a response within 20 working days, please assume your application has not been successful.

Up to £32,000 per annum depending on experience.

Experience

Degree or equivalent work experience working in a regulated environment or professional services.

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