Projects Consultant
Our clients range from start-ups to large firms with well-established track records that utilise a broad array of investment strategies and styles such as: long only, long/short equities, global macro, credit, distressed, bank debt, fixed income, private equity, venture capital, real estate-related and fund of fund strategies.
Cordium’s Project Consulting business targets larger, more diverse and more mature investment management and securities clients, as well as investment management and advisory regulatory work within large banking and insurance groups that may lack specialist investment management regulatory knowledge.
This core part of our business is dedicated to identifying and sustaining new client opportunities with our project consulting services. To support planned growth in this area we are looking to add an experienced compliance professional to manage and deliver project assignments, as well as to broaden the capabilities of the firm.
Work is of a diverse nature but will always be under-pinned by our core compliance capabilities, and we are interested in talking to candidates who can demonstrate experience in at least one, and preferably more of the following areas:
- UCITS establishment and operation
- Retail investment management products
- Investment and derivative risk management compliance
- CASS, COBS, SYSC and SUP FSA rule compliance
- Operational risk assessment and implementation
- Prudential and ICAAP experience within an asset manager or broker framework
Responsibilities are varied and will include (but not be limited to):
- Planning and delivery of client engagements
- Providing clients with responsive regulatory advice and solutions
- Update relationship contacts on regulatory change and how it impacts their business with a view to developing new engagements
- Set up relevant compliance infrastructure materials for clients
- Carry out compliance assessments onsite with clients and subsequently write compliance evaluation reports
- Build / develop client relationships
- Involvement in designing/running training courses
Key Skills / Experience
- Proven experience in understanding and interpreting regulation within the asset management and / or securities sector
- Experience of regulatory risk assessment, demonstrating an empathy with the regulators objectives, as well as the client's practical circumstances
- Ability to transfer regulatory knowledge and experience to different business models
- Design and implement solutions to address the regulatory requirements of the client
- Sound appreciation of the FCA handbook and the ability to apply rules
- Appreciation of the importance of governance and controls
- Credible client facing ability
- Excellent oral and written communication skills
Overview experience
- Minimum 5 – 7 years’ experience in a relevant financial services compliance role with proven exposure to FCA requirements and responsibilities
- Ability to navigate your way around the FCA handbook
- Experience gained at an asset management or securities firm, at the FCA or as a compliance / regulatory consultancy
Pleae forward your details to giles.remmington@cordium.com or contact me on 0203 141 9635
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