Senior Compliance Consultant – SEC experience required

THE COMPANY:

Our client is a growing and dynamic boutique compliance consulting firm.

They are looking for a Senior Consultant with SEC / CFTC / NFA knowledge.

Their core client base is comprised of asset managers so experience in from the Buy side will be useful.

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