Compliance Consultant
Leading Regulatory Consultancy seeks Investment Management Compliance Professional with strong UCITs knowledge to join London team at exciting time of growth for the firm
Role Details
* Reporting to the Director of Regulatory Consulting, you will undertake an extremely varied and rewarding role becoming central to the client advisory team and managing a portfolio of clients.
* You will be responsible for your own portfolio of clients and assisting / advising them in all regulatory matters pertaining to their business. Specifically this could include, but is not limited to;
* Undertaking compliance reviews, assessments and presenting recommendations to Compliance Officers, compliance staff and senior management;
* Providing commercially sound regulatory solutions and advice to the senior management of a wide range of entrepreneurial regulated clients;
* Managing or participating in regulatory projects, such as annual compliance audits or S.166;
* Assisting with the project management of FSA authorisation applications;
* Keeping up to date with current regulatory developments and informing clients as necessary.
* Very little travel required outside of London.
Skill Set Required:
* Broad compliance experience gained within the investment management sector.
* Strong knowledge of UCITs and other fund structures.
* You are likely to have experience of working in an in-house compliance function and/or in an compliance consultancy role.
* Entrepreneurial attitude, with a desire to help build a business and help clients do the same;
* Clear, diplomatic and comprehensive communicator.
* capable of working on-site at client offices using their on initiative - alone or as part of a team;
* Professional and calm under pressure - you will have to work in different environments often with the senior management of regulated firm.
* The successful candidate is likely to be professionally educated and/or a compliance practitioner with relevant experience of wholesale financial services from working in an in house compliance position or compliance consultancy.
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