Compliance Consultant

THE COMPANY:

We are partnering with a well-established compliance consultancy that is looking to hire a Compliance Consultant to join its growing team. This firm provides regulatory support to investment management clients across the UK and US, offering compliance solutions and a regulatory hosting platform for firms operating under FCA oversight.

This is an excellent opportunity for a compliance professional with 3–5 years of experience to join a dynamic and client-focused environment, working with a diverse range of asset managers, hedge funds, and private equity firms.

THE RESPONSIBILITIES:

• Acting as the primary compliance contact for firms on the regulatory hosting platform
• Conducting compliance monitoring reviews, both on-site and remotely
• Implementing and overseeing compliance policies in line with FCA regulations
• Assisting with background screening checks and liaising with the FCA
• Delivering compliance training sessions to clients
• Providing expert compliance advice and guidance
• Reviewing and approving financial promotion materials
• Keeping clients informed of regulatory changes and their business impact
• Supporting senior managers as required
• Developing and maintaining strong client relationships

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EXPERIENCE REQUIRED:

• Regulatory Hosting Experience is a must
• 3–5 years of experience in compliance within a consultancy, regulatory hosting firm or asset manager
• Experience in compliance monitoring or similar functions
• Strong client-facing and relationship management skills
• Ability to implement practical regulatory solutions for clients

For further information please contact Duncan Jeffery