We are seeking a Regulatory Compliance Associate to join the Investments practice of a well respected, high growth Compliance focused consultancy firm.
In this role you will be supporting a range of clients who offer wholesale investment products to both retail and institutional clients with a real breadth of compliance related support.
Key Responsibilities:
* Assisting with the drafting and submission of applications to the FCA for firms who fall in scope with both MiFID and AIFMD directives
* Performing the review of clients' Financial Promotions
* Providing clients with relevant and timely advice on regulatory developments which will impact them
* Conducting regulatory due diligence reviews as part of M&A projects
* Undertaking audits for clients on their existing regulatory frameworks and compiling detailed reports on your findings and recommendations
* Assist clients with the development of regulatory policies and procedures
* Building relationships with the existing client base to become a go-to, trusted advisor for any compliance queries
Experience Required:
* 2-5 years’ experience in compliance within financial services, with exposure to regulations applicable to Investment firms
* Experience and knowledge of FCA regulation is essential, with knowledge of AIFMD & MiFID II a big plus
* Ability to manage multiple projects and work streams at once
* Professional qualifications related to the role (CISI Diploma for example) would be hugely advantageous
* Solid work ethic, with ability to work individually and as part of a team on larger projects
* Excellent time-management skills
This is an incredibly high performing area of an already high performing business, so is a great opportunity for any compliance professional relatively early on in their career looking to gain broader exposure and professional development.
For a confidential discussion or to submit your interest in the role, please reach out to shane.cassidy@coopman.uk.
As a Certified B Corporation™, we take a different approach to how we do business. Recognised on an international scale as a company that operates for good, we value & incorporate the interests of all of our stakeholders to grow in the most sustainable manner. As a recognised Great Place to Work™, we ensure our workplace is one that fosters professional growth and collaboration.