At a Glance
- Tasks: Oversee compliance for appointed representatives and manage client relationships.
- Company: Dynamic financial services firm with a focus on innovation and growth.
- Benefits: Competitive salary, pension, private healthcare, and professional development opportunities.
- Other info: Exciting opportunities to work with diverse clients and advance your career.
- Why this job: Join a pioneering team and make a real impact in the regulatory landscape.
- Qualifications: Experience in compliance or financial services, strong analytical skills, and a proactive mindset.
The predicted salary is between 51750 - 63250 £ per year.
Salary (GBP)
Competitive, DOE, plus benefits
Perm/Temp
Permanent
Department
- Hosting Team
- JOB SPECIFICATION
- We are looking for a
Compliance Consultant (Senior Associate level) to join our London based team. We offer a competitive package, dependent on experience, plus benefits including Pension and Private Healthcare.
The Laven Hosting business was established over a decade ago, providing reliable services to the investment management industry, developing an expertise in product structures and due diligence, leading the group to offer an FCA umbrella service to appointed representatives and fund managers.
With continued growth, the company is looking for an experienced Compliance Consultant to enhance the firm's offering and entrepreneurial progression.
Our business caters to all types of management strategies from PE to liquid funds and including more advanced strategies on ESG, fintech and digital assets.
Under our UK regulatory umbrella solution we enable clients to 1) conduct investment advisory activities and/or arrange deals in investments activities as an appointed representative; 2) to manage investments as a Mi FID investment manager; 3) manage unauthorised AIFs as an AIFM.
Our services are underpinned by a talented team, and we are excited to have clients who are pioneers in women-led run businesses and tech, including clean tech.
We also cater to more traditional managers as well as many non-UK businesses operating from the UK, thus giving us a very international client base.
The responsibilities of our Compliance Consultant will include
- Overseeing the supervision of Appointed Representatives (AR), as need be, including performing due diligence and on-boarding of new ARs, leading virtual/on-site visits, ongoing monitoring of AR compliance through AR reporting, reviewing financial promotions and personal account transactions, and providing training and ad-hoc advice to ARs.
- Managing client Taskworld and Freshbooks records and time recorded for invoicing, and overseeing internal procedural documents (e. g., the AR Handbook) and Hosting Overview lists.
- Supporting the risk team with portfolio monitoring, KYC procedures on target ventures for managing clients, and participation in internal risk management committees.
- Working with senior staff on any new laws that may affect Laven, to ensure the firm has appropriate systems and controls in place, and drafting articles relating to compliance news and regulatory developments for the firm's website.
- Reviewing compliance manuals and other client requests across the group, including for Lumen Asset Management and/or Laven Advisors LLP.
- Reviewing agreements and templates relating to the provision of regulatory hosting services, and tracking ongoing contracts.
- Supporting fund administration, fund management and investment risk functions, working closely with and learning from the Head of Risk.
- Improving and growing the firm's client base for the hosting platform, promoting Laven products through meetings, calls, demos and industry events, and building independent client relationships, including leading client meetings alone with successful outcomes and supporting and supervising Junior Associates.
To become our Compliance Consultant, you will have the following skills, experience and attributes:
- Proven experience as a Compliance Consultant or similar, ideally at Associate level or above, within financial services or regulatory hosting.
- Legal degree preferred but not essential.
- Minimum of 2:1 university degree or equivalent.
- Strong interest in, and working knowledge of, the regulatory industry and FCA regulations.
- Well organised and meticulous attention to detail.
- Structured and commercial thinking.
- A pragmatic and common-sense approach to solving problems.
- Excellent analytical and communication skills, with a proven ability to lead client meetings and manage relationships independently.
- Experience supporting risk management, KYC or due diligence processes is a notable advantage.
- #J-18808-Ljbffr
Compliance Consultant employer: Laven Partners
Laven Partners is an exceptional employer, offering a dynamic work environment in the heart of London where compliance professionals can thrive. With a strong focus on employee growth, we provide comprehensive benefits including pension and private healthcare, alongside opportunities to lead client engagements and shape regulatory solutions. Our collaborative culture fosters innovation and supports your career development, making it a rewarding place to advance your expertise in compliance.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Consultant
✨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 Laven Partners looking for candidates who are engaged and informed.
We think you need these skills to ace Compliance Consultant
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 Laven Partners. 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 Laven Partners
✨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 Laven Partners’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
