At a Glance
- Tasks: Advise clients on regulatory compliance and manage client relationships in asset management.
- Company: Leading management consulting firm based in London.
- Benefits: Competitive salary, professional development, and dynamic work environment.
- Other info: Opportunity to work with global teams and attend industry events.
- Why this job: Make a real impact in the financial sector while growing your career.
- Qualifications: Experience in compliance and strong understanding of FCA policies required.
The predicted salary is between 70000 - 90000 £ per year.
We are searching for an experienced Compliance Consultant with a strong background in advising Asset/Fund management Clients across a range of regulatory initiatives. This role is with a leading management consulting firm based in London.
Ideally, you will have significant compliance-related experience gained at a financial institution, legal practice, consultancy and/or the regulator:
- Proven track record of exceeding financial goals and sales targets; consulting experience would be advantageous
- Deep understanding of the FCA’s policies and procedures
- Strong technical knowledge and experience of advising funds, private equity, corporate finance, asset management and/or real estate firms
- Experience translating regulatory rules and guidance into meaningful, fit-for-purpose and pragmatic solutions for clients
- Experience managing client relationships
Client delivery:
- Provide high quality advice and support to clients on a range of regulatory compliance matters. This may include:
- Drafting and maintaining policies, procedures and compliance monitoring programmes
- Delivering training sessions and workshops for compliance staff and senior management
- Carrying out compliance health checks and periodic monitoring
- Assisting with regulatory matters including authorisation applications and variations of permission
- Responding to ad-hoc and routine regulatory queries
Act as the main point of contact for a portfolio of clients. This may include:
- Responding to all queries, managing client expectations and delegating work, where necessary
- Reviewing the work of colleagues and providing constructive feedback
- Ensuring accurate invoicing, timely payment and assisting the Finance team in resolving any queries
- Dealing with any complaints quickly and effectively
Actively partner with global sector teams to support and deliver on shared projects and responsibilities, where required.
Adhere to the firm’s Quality Assurance Framework prior to submission to the client.
Accurately record all client time in the CRM system.
Ensure all client files are in good order and details of relevant contacts are updated in the CRM system.
Business development:
- Take personal responsibility for achieving the agreed sales credit target
- Build and maintain professional working relationships with clients, trade bodies and the regulator(s)
- Actively seek to increase pipeline by targeting new clients, as well as leveraging existing client relationships to maximise opportunities for up-selling and cross-selling
- Prepare well-presented, accurately priced proposals and present these to prospective clients
- Represent the firm at industry events, promoting the Bovill brand
- Participate in internal events and training sessions such as client briefings and roundtable events
- Assist the team with marketing and business development activities
- Record all touch-points, leads, opportunities and proposals in the CRM system
Compliance Consultant Asset Management employer: Taylor James Resourcing
As a leading player in the fintech sector, we pride ourselves on fostering a dynamic and inclusive work culture that encourages innovation and collaboration. Our employees benefit from comprehensive professional development opportunities, competitive remuneration, and a commitment to work-life balance, all while being part of a forward-thinking team dedicated to revolutionising payment solutions across our extensive retail network.
