The firm is a very successful compliance consultancy
Whilst most of its asset management clients are FCA regulated , an ever-increasing number are SEC and NFA/CFTC
Responsibilities include, but are not limited to:
- Primary compliance resource for a number of clients
- Leading monitoring reviews both on-site and remotely
- Implementation of policies as applicable
- Assisting with background screening checks as necessary and liaising with the FCA
- Provision of compliance training, both on-site and remotely
- Providing compliance advice
- Review and approval of financial promotion materials
- Updating on regulatory change and how it impacts their business
- Providing support to senior managers where required
- Building and developing client relationships
Key Skills / Experience
- Experience gained within a compliance or management consultancy, regulatory hosting firm, asset manager (including hedge funds, private equity, real estate and other alternatives), or a regulator such as the FCA
- Thorough knowledge of the FCA Handbook
- Experience of compliance monitoring or similar
- Excellent customer service ethos
- Ability to implement regulatory solutions to address compliance needs
- Strong client facing ability
- Excellent verbal and written communication skills
- Ability to multi-task
- Degree educated or similar
Must hold the right to work in the UK
Hybrid working is available although flexibility is a must