The firm 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
* 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
* Thorough knowledge of the FCA Handbook
* Experience of compliance monitoring or similar
* Excellent customer service ethos
* Ability to implement regulatory solutions to address compliance needs
* Strong client facing ability
* Excellent verbal and written communication skills
* Ability to multi-task
* Degree educated or similar
Must hold the right to work in the UK
Hybrid working is available although flexibility is a must