Compliance Consultant

2 days ago

London, United Kingdom IQ-EQ Full time

Company Description

We’re a leading Investor Services group offering end-to-end services in administration, accounting, reporting, regulatory and compliance needs of the investment sector worldwide.

We employ a global workforce of 5,500+ people across 25 jurisdictions and have assets under administration (AUA) exceeding US$750 billion. We work with 13 of the world’s top 15 private equity firms.

Our services are underpinned by a Group-wide commitment to ESG and best-in-class technology including a global data platform and innovative proprietary tools supported by in-house experts.

Above all, what makes us different is our people. Operating as trusted partners to our clients, we deliver intelligent solutions through a combination of technical expertise and strong relationships based on deep client understanding.

We’re driven by our Group purpose, to power people and possibilities.

Job Description

The Compliance Consultant will successfully support, manage and develop client relationships, deliver client project work and take part in team development activities.

The Compliance Consultant will be tasked with effectively delivering compliance monitoring programme assessments, drafting policy and procedure reviews, drafting the preparation of reports and manuals to reinforce regulatory requirements, and providing compliance advice to client firms.

They will support a portfolio of Firms providing ongoing compliance support. The Compliance Consultant will address client feedback and ensure market leading support is provided to clients throughout.

A team-oriented individual, looking to further their career in a fast-growing business line.

Tasks

  • Responsive regulatory advice and solutions
  • Delivering consulting engagements on a variety of financial crime topics including AML, market abuse, ABC and others
  • Updating clients on regulatory changes and how it impacts their business
  • Setting up and reviewing relevant policies, procedures and working documentation for clients
  • Working with clients to devise their risk-based monitoring programmes or thematic risk assessments
  • Carrying out regular compliance monitoring review visits onsite with clients, and subsequently writing up working papers and reports
  • Involvement in reviewing upcoming regulatory requirements and drafting thought leadership publications
  • Building / developing client relationships

Key competencies for position and level

  • Developing process
  • Time Management
  • Attention to detail
  • Strong communication skills, written and verbal
  • Enthusiastic and team focused approach

Key behaviours we expect to see

  • Professionalism
  • Integrity
  • Trust - ability to be empowered and be relatively autonomous in day to day tasks
  • Focus on growth and career development

Qualifications

Required Experience

  • 2-3 years’ experience working within Regulatory Compliance at comparable compliance consultancy or in a compliance role in a regulated investment firm
  • Working knowledge of FCA regulations in the context of AIFMD and MiFID investment firms (an understanding of Private Equity would be helpful but not essential) and Money Laundering Regulations
  • Excellent working knowledge of the FCA Handbook and regimes such as SMCR and IFPR
  • Proven track record of delivering client monitoring or advisory work, gained in house or within a consultancy environment
  • Ability to implement solutions to address the regulatory requirements of the client
  • Experience of financial reporting or FCA prudential requirement reviews
  • Excellent communication skills, keen and enthusiastic approach to client support
  • Compliance qualifications (or working towards) would be beneficial

Computer / program knowledge

  • Microsoft Word, Excel, PowerPoint

Company, product and market knowledge

  • Asset management, sell side, banking or other financial services
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