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