Senior Compliance Consultant
senior compliance officer
AIFMD, UCITS, MIFID AND OTHER HOT REGULATIONS
About Our Client
A regulatory consultancy for the wholesale finance sector working with a broad range of clients that include hedge funds, fund of funds, long-only managers, private equity, venture capital, institutional brokerage, capital introduction and investment advisers.
- Serve as relationship manager in supporting clients with all of their compliance questions and needs.
- Complete all aspects of mock FCA inspection fieldwork, including supervising and reviewing the work of staff, writing mock FCA inspection reports and/or reviewing drafts prepared by staff.
- Perform policy and procedure reviews, including supervising and reviewing the work of staff.
- Assist clients in developing and documenting compliance policies.
- Providing commercially sound regulatory solutions and advice to the senior management of a wide range of entrepreneurial regulated clients.
- Provide lead support in helping clients interact with FCA and other regulators on examinations, investigations and similar reviews.
- Managing regulatory projects, such as annual compliance audits or mock examinations;
The Successful Applicant
- The successful candidate is likely to be professionally educated and/or a compliance practitioner with relevant experience of wholesale financial services from working at the FCA, in a compliance consultancy or in an in-house compliance position;
- Strong academic background (i.e. degree level or professional qualification), in addition to the CFA Investment Management Certificate
- Very strong working knowledge of the Financial Services andrecognised Markets Act 2000, the Markets in Financial Instruments Directives, the Alternative Investment Fund Managers Directive, and related FCA rules and guidance;
5 years plus relevant experience
What's on Offer
exposure to broad compliance projects, different businesses, Independence as well as a competitive package and excellent working environment.