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