Compliance Consultant Opportunities
Black Swan Group are currently working on a variety of Regulatory Consultancy roles with some top Regulatory Consultancies. This is a lucrative, interesting and ever growing area of the financial services sector. We are interested in seeing a variety of relevant compliance and regulatory backgrounds in line with the following general role details and skill set.
Regulatory Consultant Overview
* The role of a regulatory consultant is broad and varied, involving handling a range of regulatory issues affecting a variety of clients on a day to day basis.
* Dealing with a varied client portfolio, predominantly focused in the alternatives and securities industries. Examples of clients include investment start up, established investment boutiques, hedge funds, private equity, brokerage firms, etc. We are also currently working with clients who consult to the investment banking industry.
* Provision of relevant regulatory advice and guidance to clients.
* Where applicable, performing compliance monitoring in accordance with a plan agreed with the client each year.
* Production of client reports.
* Providing information on regulatory developments to clients, both by means of quarterly visits, or where more urgent, by contacting clients individually.
* Delivery of training as necessary.
* Set up (for new clients) and maintenance of compliance infrastructure.
* Client management.
Skill Sets Overview
* Degree level education preferred.
* Relevant industry qualifications desirable, such as the compliance diploma.
* Solid CV i.e. not moved jobs after short periods of time.
* Excellent compliance/ regulatory background gained at the FSA/ regulator, regulatory consultancy or Big 4 consultancy, or in an in house capacity.
* Broad and varied 'generalist' compliance knowledge i.e. compliance advisory. Monitoring, policy and procedures, training, etc.
* Good understanding of FSA rules; knowledge of SEC regulations is a plus.
* Strong client facing skills:
* professional demeanor
* outstanding communication skills both in person, presentation and written
* problem solving ability
* strong listener
* presentable
* able to use initiative
* represent the company in the best possible manner
* Able to work as part of a team as well independently e.g. deal with clients and visit clients alone.
* Excellent organization and time management skills.
* Keen to consider strong compliance candidates looking to get in to consultancy from a variety of backgrounds such as investment management, broking, hedge funds, investment banking, etc, OR a regulator, OR a proven regulatory/ compliance consultant.
Leave a Reply
You must be logged in to post a comment.