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Senior Compliance Consultant

Employer
Page Executive
Location
London, United Kingdom
Salary
Negotiable
Closing date
Dec 3, 2019

View more

Job Function
Compliance/Regulatory
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
A regulatory consultancy for the wholesale finance sector working with a broad range of clients that include hedge funds, fund of funds, long-only managers, private equity, venture capital, institutional brokerage, capital introduction and investment advisers.

Description
  • Serve as relationship manager in supporting clients with all of their compliance questions and needs.
  • Complete all aspects of mock FCA inspection fieldwork, including supervising and reviewing the work of staff, writing mock FCA inspection reports and/or reviewing drafts prepared by staff.
  • Perform policy and procedure reviews, including supervising and reviewing the work of staff.
  • Assist clients in developing and documenting compliance policies.
  • Providing commercially sound regulatory solutions and advice to the senior management of a wide range of entrepreneurial regulated clients.
  • Provide lead support in helping clients interact with FCA and other regulators on examinations, investigations and similar reviews.
  • Managing regulatory projects, such as annual compliance audits or mock examinations;

Profile
  • 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 professional qualification), in addition to the CFA Investment Management Certificate
  • Very strong working knowledge of the Financial Services andrecognised Markets Act 2000, the Markets in Financial Instruments Directives, the Alternative Investment Fund Managers Directive, and related FCA rules and guidance;

5 years plus relevant experience

Job Offer

exposure to broad compliance projects, different businesses, Independence as well as a competitive package and excellent working environment.

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