Senior Lead Compliance Consultant – Investment Management

London (West)
£90K-£110K + Bonus & Benefits
11 Oct 2019
10 Nov 2019
Contract Type
Full Time

A leading consultancy is looking to add a Senior Principal Consultant to their continually expanding business. An excellent opportunity for an individual looking for that next step in their career, managing both a portfolio of clients & teams across various projects.

Main Responsibilities:

  • 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;
  • Conducting research, writing articles, and/or making internal or client presentations on compliance specific issues, rules or regulations.
  • Supervise and train Consultants and other junior members in the team.
  • Identify business opportunities to provide a more comprehensive offering of compliance services to existing clients.
  • Assist the Company in implementing best practices in all client-interfacing activities.
  • Keep up to date with current regulatory developments and informing clients as necessary.
  • Subject to client demand there is also the opportunity to work on US regulatory matters / projects (SEC/ CFTC).

Job Requirements:

  • At least 5 years relevant compliance experience, including excellent buy side regulatory knowledge including AIFMD, MiFID II etc.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 in addition to IMC or equivalent.
  • Excellent, relevant, buy side regulatory knowledge including AIFMD, MiFID II etc.

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