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Compliance Consultant

Information About This Job

Job Title: Compliance Consultant
Contract Type: Permanent
Location: London
Contact Name: Mark Foy
Contact Email:
Job Published: over 1 year ago

Job Description

This client-facing role is suited for an individual with initiative and a genuine interest in compliance.


About The Company

The company is a dynamic and growing London-based consultancy dedicated to helping institutional or wholesale financial services firms navigate an increasingly complex regulatory environment. Their clients include investment managers, hedge funds, asset managers and other financial institutions, who advise on a number of financial regulations from the UK, Europe and US, including FCA, ESMA, SEC, CFTC, FINRA.


Key Responsibilities

  • Managing a portfolio of clients and assisting them in regulatory matters pertaining to their business

  • Conducting monitoring reviews with clients, and drafting compliance monitoring reports

  • Processing FCA authorisation applications

  • Undertaking compliance projects

  • Initiating, developing and maintaining client relationships

  • Supporting and learning from the senior consultants


Skills & Experience

  • 2 - 4 years of experience in wholesale or institutional financial regulatory compliance gained at a compliance or management consultancy firm is most key; experience at an asset management firm (including hedge funds, private equity, real estate and other alternatives), securities firm or with a regulator such as the FCA, SEC, NFA, etc. is favourable but not necessary

  • Working knowledge of the FCA Handbook

  • Experience of compliance monitoring or similar

  • Excellent customer service ethos

  • Strong client facing ability

  • Degree educated or similar

  • Detail oriented and multi-tasker

  • Excellent verbal and written communication skills

  • Must hold the right to work in the UK

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