You will be responsible for your own portfolio of clients and assisting / advising them in all FCA regulatory matters pertaining to their business.
Our client is a regulatory consultancy for the wholesale finance sector.
Specifically, this could include, but is not limited to:
- Undertaking compliance reviews, assessments and presenting recommendations to Compliance Officers, compliance staff and senior management;
- Providing commercially sound regulatory solutions and advice to the senior management of a wide range of entrepreneurial regulated clients;
- Managing or participating in regulatory projects, such as annual compliance audits or mock examinations;
- Conducting research, writing articles, and/or making internal or client presentations on compliance specific issues.
- Assisting with the project management of FCA authorisation applications;
- Keeping up to date with current regulatory developments and informing clients as necessary.
- Subject to client demand there is also the opportunity to work with US colleagues on US regulatory matters / projects (SEC/ CFTC).
- The successful candidate will have a proven track record in compliance gained within a wholesale financial services environment including working at the FCA, at a compliance consultancy or in an in-house compliance function;
- Strong academic background (i.e. degree level or recognised professional qualification)
- Sound working knowledge of the Financial Services and Markets Act 2000, the Markets in Financial Instruments Directives, the Alternative Investment Fund Managers Directive, and related FCA rules and guidance;