Our client is a growing and dynamic boutique compliance consulting firm.
They are looking for a Compliance Analyst, ideally 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:
Working with senior consultants and supporting them in their roles as the primary compliance resource for a number of retained client relationships
Attending client meetings, both on-site and by video conference, in conjunction with senior consultants
Assisting with setting up compliance infrastructure for clients
Assisting with compliance projects, monitoring reviews, and drafting compliance monitoring reports
Managing certain FCA application processes on behalf of clients, for example in relation to Approved Persons applications
Assisting with preparation and delivery of compliance training
Understanding and updating clients on regulatory change and how it impacts their business
Providing strategic compliance advice, anticipating the regulatory compliance needs of our clients
Building and developing client relationships
EXPERIENCE REQUIRED:
1 – 2 years’ experience gained within a compliance, specialist or management consultancy, asset manager (including hedge funds, private equity, real estate and other alternatives), law firm or a regulator such as the FCA, SEC, NFA, etc. would be preferable but not essential
An understanding of the UK regulatory landscape and the FCA Handbook
Excellent customer service ethos
For further information please contact Duncan Jeffery
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