Compliance Consultancy – Asset Management Experience Essential

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

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