Our client is a growing and dynamic boutique compliance consulting firm. Their core client base is comprised of asset managers regulated by the FCA.
THE RESPONSIBILITIES:
Acting as the primary compliance resource for a number of retained client relationships
Providing strategic compliance advice over multiple regulators, anticipating the regulatory compliance needs of our clients
Providing clients with tailored and proportionate regulatory solutions to their compliance challenges, regulatory questions and issues
Understanding and updating clients on regulatory change and how it impacts their business
Setting up compliance infrastructures for clients and ensuring these remain “fit-for- purpose”
Undertaking compliance projects, monitoring reviews, and drafting compliance collateral both internally and externally
Conducting compliance training
Building and developing client relationships
Participating in business development events and initiatives and involvement in client sales presentations
EXPERIENCE REQUIRED:
MUST have SEC exposure
7 – 10+ years’ experience gained within a compliance, specialist or management consultancy, asset manager (including hedge funds, private equity, real estate and other alternatives), securities firms or a regulator such as the FCA, SEC, NFA, etc.
Thorough knowledge of the FCA Handbook and of U.S. regulations (SEC)
Experience of compliance monitoring or similar
Excellent customer service ethos
Ability to implement regulatory solutions to address the needs of the client
For further information please contact Duncan Jeffery
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