Investment Compliance Consultant - Hedge Funds, Private Equity, Venture Finance - £50-£70k

JCW Search
London, United Kingdom
£50,000 - £70,000
Sep 13, 2017
Sep 16, 2017
Job Function
Industry Sector
Finance - General
Employment Type
Full Time

Summary of Responsibilities:

You will be responsible for your own portfolio of clients and assisting / advising them in all FCA 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 mock examinations;
  • Conducting research, writing articles, and/or making internal or client presentations on compliance specific issues.
  • Assisting with the project management of FCA authorisation applications;
  • Keeping up to date with current regulatory developments and informing clients as necessary.
  • Subject to client demand there is also the opportunity to work with US colleagues on US regulatory matters / projects (SEC/ CFTC).


Skills and Profile

·         Entrepreneurial attitude, with a desire to help build a business and help clients do the same;

·         Highly motivated, dedicated to upholding high quality standards and customer service focus.

·         Able to think commercially about sometimes complex regulatory issues and able to work exacting client demands / deadlines.

·         Capable of working on-site at client offices using their own initiative - alone or as part of a team.

·         Clear, diplomatic and comprehensive communicator;

·         Strong analytical skills; organised and detail oriented with the ability to multi-task and prioritise effectively.

·         Professional and calm under pressure - you will have to work in different environments often with the senior management of regulated firms.


Qualifications and experience

·         The successful candidate is likely to be professionally educated and/or a compliance practitioner with relevant experience of wholesale financial services from working at the FCA, in a compliance consultancy or in an in-house compliance position;

·         Strong academic background (i.e. degree level or recognized professional qualification), in addition to the CFA Investment Management Certificate - Units 1 and 2 

·         General Sound working knowledge of the Financial Services and Markets Act 2000, the Markets in Financial Instruments Directives, the Alternative Investment Fund Managers Directive, and related  FCA rules and guidance;.

·         3 years plus relevant experience.

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