Compliance Consultant - Buy-Side
Austin Andrew · Slough, England ·
Our client is a boutique (but with a global footprint) compliance consultancy focused on the investment management sector Key Responsibilities • Working with senior consultants and supporting them in their roles as the primary compliance resource for a number of retained client relationships • Attending client meetings, both on-site and by video conference, in conjunction with senior consultants • Assisting with setting up compliance infrastructure for clients • Assisting with compliance projects, monitoring reviews, and drafting compliance monitoring reports • Managing certain FCA application processes on behalf of clients, for example in relation to Approved Persons applications • Assisting with preparation and delivery of compliance training • Understanding and updating clients on regulatory change and how it impacts their business • Providing strategic compliance advice, anticipating the regulatory compliance needs of our clients • Building and developing client relationships Key Skills / Experience • 1 - 2 years’ experience gained within a compliance, specialist or management consultancy, asset manager (including hedge funds, private equity, real estate and other alternatives), law firm or a regulator such as the FCA, SEC, NFA, etc. is preferable • An understanding of the UK regulatory landscape and the FCA Handbook • Excellent customer service ethos • Degree educated or similar • Excellent verbal and written communication skills • Ability to multi-task • Must hold the right to work in the UK