Senior Consultant – Digital Finance Compliance

ROLE RESPONSIBILITIES.

• Manage and develop designated client relationships.
• Deliver on work as detailed in the contractual scope of engagement to ensure a high-level of client satisfaction.
• Provide support and guidance to clients in relation to FCA regulatory obligations.
• Assist with or personally undertaking periodic compliance monitoring reviews and providing clients with formal reports.
• Support clients with the completion of FCA periodic returns.
• Ensure that established Quality Assessment procedures are followed, and which are in place for the team to ensure a high-level of client satisfaction.
• Carry out work relative to firms that wish to apply for FCA authorisation, to vary their FCA Permission, effect a Change in Control or a Change of Legal Status.
• Be a go to ‘Subject Matter Leader (SML)’ on topics as agreed from time to time
• Inform clients of relevant changes in regulation
• Ensure client chargeability target is met or exceeded.
• Reviewing client marketing materials to ensure such meet regulatory requirements.
• Agreeing and negotiating terms of new client instructions.
• Be aware of time being booked to client engagements with a view to ensuring that clients are serviced within acceptable profitability metrics.
• Provide clients with regulatory training, as agreed on the basis of established competence and capability.

TECHNICAL

• Produce regulatory updates to clients on topics pertinent to the market.
• Personally do or organise and oversee the creation of compliance documentation relevant to each clients’ business as it is established and as it develops.
• As agreed with your supervisor and/or the relevant SML lead, research specific technical issues

BUSINESS DEVELOPMENT

• Identify new business opportunities (cross selling) within existing client base and in particular the clients you service.
• Attend and represent firm at industry events / conferences / networking events
• Build and maintain a network of industry contacts to generate new business

PERSON SPECIFICATION.

• Regulatory / compliance experience in a role gained in payments, e-money, crypto-assets, professional compliance services or regulatory services is essential
• Relevant professional qualification.
• Ability to ‘hit the ground running’ to take on established clients as part of a team.
• Ability to advise on a wide range of business models.
• Awareness of the commercial aspects of consultancy.

COMPETENCIES.

• Skilled in Compliance Monitoring, auditing, gap analysis and providing professional reports.
• Skilled in the FCA Application process relevant to market.
• Ability to interpret client business models and apply rules to them.
• Knowledge of FCA Application and Variation of permission process.
• Knowledge of FCA and EU regulatory frameworks, institutions, and internal operating structures for the market.
• Knowledge of compliance risk frameworks and how to apply to various firms.
• Knowledge and experience of project management.

…