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Compliance Consultancy - Buy-Side : SEC knowledge essential, Slough
Location: Slough, United Kingdom
Job Category: Other
EU work permit required: Yes
Job Views:
1
Posted:
22.08.2025
Expiry Date:
06.10.2025
Job Description:
Our client is a very successful compliance consultancy specializing in asset management clients, including those regulated by FCA, SEC, and NFA/CFTC. Responsibilities include:
* Serving as the primary compliance resource for clients
* Leading monitoring reviews on-site and remotely
* Implementing applicable policies
* Assisting with background screening and liaising with the FCA
* Providing compliance training both on-site and remotely
* Offering compliance advice
* Reviewing and approving financial promotion materials
* Updating clients on regulatory changes and their business impact
* Supporting senior management as needed
* Building and maintaining client relationships
Key Skills / Experience:
* Experience in compliance or management consultancy, regulatory hosting, asset management (including hedge funds, private equity, real estate, and other alternatives), or a regulator such as the FCA
* Thorough knowledge of the FCA Handbook
* Experience with compliance monitoring or similar functions
* Ability to implement regulatory solutions to meet compliance needs
* Strong client-facing skills
* Excellent verbal and written communication skills
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