Compliance Consultant – Buy-Side

Our client is a boutique (but with a global footprint) compliance consultancy focused on the investment management sector

Key Responsibilities

• Working with senior consultants and supporting them in their roles as the primary compliance resource for a number of retained client relationships
• Attending client meetings, both on-site and by video conference, in conjunction with senior consultants
• Assisting with setting up compliance infrastructure for clients
• Assisting with compliance projects, monitoring reviews, and drafting compliance monitoring reports
• Managing certain FCA application processes on behalf of clients, for example in relation to Approved Persons applications
• Assisting with preparation and delivery of compliance training
• Understanding and updating clients on regulatory change and how it impacts their business
• Providing strategic compliance advice, anticipating the regulatory compliance needs of our clients
• Building and developing client relationships

Key Skills / Experience

• 1 – 2 years’ experience gained within a compliance, specialist or management consultancy, asset manager (including hedge funds, private equity, real estate and other alternatives), law firm or a regulator such as the FCA, SEC, NFA, etc. is preferable
• An understanding of the UK regulatory landscape and the FCA Handbook
• Excellent customer service ethos
• Degree educated or similar
• Excellent verbal and written communication skills
• Ability to multi-task
• Must hold the right to work in the UK

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