Compliance Consultant

THE COMPANY:

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

They are looking for a Compliance 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.
• Attend and lead client meetings, both on-site and by video conference
• Providing strategic compliance advice, anticipating the regulatory compliance needs of our clients
• Provide resolutions for complex regulatory questions and issues
• Setting up compliance infrastructure for clients
• Undertaking compliance projects, monitoring reviews, and drafting compliance monitoring reports
• Understanding and updating clients on regulatory change and how it impacts their business
• Conducting compliance training
• Building and developing client relationships
• Provide support and participate in client sales presentations

EXPERIENCE REQUIRED:

• Any US experience is useful
• 4 – 7 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
• Working knowledge 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