Job Description
Our client is a very successful compliance consultancy
Whilst most of its asset management clients are FCA regulated, an ever-increasing number are SEC and NFA/CFTC
Responsibilities include, but are not limited to:
* Primary compliance resource for a number of clients
* Leading monitoring reviews both on-site and remotely
* Implementation of policies as applicable
* Assisting with background screening checks as necessary and liaising with the FCA
* Provision of compliance training, both on-site and remotely
* Providing compliance advice
* Review and approval of financial promotion materials
* Updating on regulatory change and how it impacts their business
* Providing support to senior managers where required
* Building and developing client relationships
Key Skills / Experience
1. Experience gained within a compliance or management consultancy, regulatory hosting firm, asset manager (including hedge funds, private equity, real estate and other alternatives), or a regulator such as the FCA
2. Thorough knowledge of the FCA Handbook
3. Experience of compliance monitoring or similar
4. Excellent customer service ethos
5. Ability to implement regulatory solutions to address compliance needs
6. Strong client facing ability
7. Excellent verbal and written communication s...