Compliance Consultant

THE COMPANY:

Our client is a well-known award-winning regulatory firm offering a broad range of consulting services for the financial industry.

THE RESPONSIBILITIES:

• Overseeing the supervision of Appointed Representatives (AR), as need be, including performing due diligence and on-boarding of new ARs, leading virtual/on-site visits, ongoing monitoring of AR compliance through AR reporting, reviewing financial promotions and personal account transactions, and providing training and ad-hoc advice to ARs.
• Managing client Taskworld and Freshbooks records and time recorded for invoicing, and overseeing internal procedural documents (e.g., the AR Handbook) and Hosting Overview lists.
• Supporting the risk team with portfolio monitoring, KYC procedures on target ventures for managing clients, and participation in internal risk management committees.
• Working with senior staff on any new laws that may affect the business, to ensure the firm has appropriate systems and controls in place, and drafting articles relating to compliance news and regulatory developments for the firm’s website.
• Reviewing compliance manuals and other client requests across the group.
• Reviewing agreements and templates relating to the provision of regulatory hosting services, and tracking ongoing contracts.
• Supporting fund administration, fund management and investment risk functions, working closely with and learning from the Head of Risk.
• Improving and growing the firm’s client base for the hosting platform, promoting business products through meetings, calls, demos and industry events, and building independent client relationships, including leading client meetings alone with successful outcomes and supporting and supervising Junior Associates.

EXPERIENCE REQUIRED:

• Proven experience as a Compliance Consultant or similar, ideally at Associate level or above, within financial services or regulatory hosting.
• Legal degree preferred but not essential.
• Minimum of 2:1 university degree or equivalent.
• Strong interest in, and working knowledge of, the regulatory industry and FCA regulations.
• Well organised and meticulous attention to detail.
• Excellent written English.
• Structured and commercial thinking.

For further information please contact Duncan Jeffery