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Regulatory Compliance Consultancy x 3 (Buy or Sell-Side)

  • Location: London
  • Sector: Compliance
  • Salary: £90000 - £100000 per annum
  • Job type: Permanent
  • Date posted: 07/07/2017
  • Job reference: FH2009
This vacancy has now expired.

I have three positions within diverse global regulatory compliance consultancies

These roles are focused on each of the following areas :

(a)Private Equity/Real Estate

(b)Wealth Management

(c) Broking/Securities

Please get in touch for more information however to overview :

Clients typically range from start-ups to large firms with well-established track records and utilise a broad array of investment strategies and styles

These are varied roles and responsibilities include (but are not limited to):

  • Provide clients with responsive regulatory advice and solutions
  • Update clients on regulatory change and how it impacts their business
  • Draft manuals and other compliance documentation for clients
  • Set up relevant compliance infrastructure for clients
  • Carry out regular compliance monitoring reviews onsite with clients, and subsequently write compliance monitoring reports
  • Lead compliance project assignments across a diverse range of clients

Key Skills / Experience:

  • Proven compliance expertise gained over a number of years across:
  • Compliance consultancy
  • Private Equity
  • Real Estate
  • Asset / Investment Management
  • Broking/Securities

Ability to implement solutions to address the regulatory requirements of the client

  • Sound knowledge of the FCA handbook
  • Experience of monitoring and the ability to develop compliance monitoring programmes and techniques
  • Strong client facing ability
  • Excellent oral and written communication skills

For these hires there is a strong preference for someone who has:

  • Developed their compliance expertise
  • Generalist experience as opposed to niche exposure (i.e. financial crime)
  • Experience of running and developing compliance monitoring programmes
  • Solid knowledge of the rules / handbooks
  • Experience of MiFID2 beneficial

Clients have a supportive team environment and offer the potential for flexible working.

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