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.
For a confidential discussion or to submit your interest in the role, please reach out to shane.cassidy@coopman.uk.
As a Certified B Corporation™, we take a different approach to how we do business. Recognised on an international scale as a company that operates for good, we value & incorporate the interests of all of our stakeholders to grow in the most sustainable manner. As a recognised Great Place to Work™, we ensure our workplace is one that fosters professional growth and collaboration.
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