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Compliance Consultancy - Buy Side Experience Essential, Slough
Client:
Confidential
Location:
Slough, United Kingdom
Job Category:
Other
EU work permit required:
Yes
Job Views:
5
Posted:
31.05.2025
Expiry Date:
15.07.2025
Job Description:
Our client is a very successful compliance consultancy specializing in asset management clients, primarily FCA regulated, with an increasing number of SEC and NFA/CFTC clients.
Responsibilities include, but are not limited to:
* Serving as the primary compliance resource for multiple clients
* Leading monitoring reviews both on-site and remotely
* Implementing policies as applicable
* Assisting with background screening checks 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 with a regulator such as the FCA
* Thorough knowledge of the FCA Handbook
* Experience in compliance monitoring or similar roles
* Ability to develop regulatory solutions to meet compliance needs
* Strong client-facing skills
* Excellent verbal and written communication skills
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