Senior Compliance Consultant

2 weeks ago

London, UK, United Kingdom Nelson Scott LLP Full time

A specialist financial services regulatory consultancy with a global offering across the UK, the Channel Islands, Singapore, Hong Kong, Mauritius and the Americas. We help our clients meet complex and evolving regulatory obligations, providing certainty and peace of mind. We work with firms of every size across the financial services sector, supporting clients managing regulatory change and dealing with regulatory scrutiny. We provide advice on regulatory change and preventing financial crime, applications to regulators, building or enhancing regulatory frameworks, conducting compliance investigations or diagnostics, training and fulfilling prescribed roles.


We are searching for a Compliance Consultant to join our experienced compliance process outsourcing team. The successful candidate will have relevant experience dealing with compliance within investment firms including AIFMs and MIFID firms. Practices in the wider team look after many other financial services firms such as Alternative Investment Firms, capital markets firms, investment advisers, wealth managers, payments services, consumer credit firms, mortgage intermediaries and insurance brokers and crypto businesses. The company also operates centres of excellence in Financial Crime and Prudential Regulation. You will be part of our client process outsourcing team where you will be setting up and executing policies and procedures, compliance monitoring, providing training, assisting with authorisations and providing regulatory advice. You may also be required to work across practices and the centres of excellence as work dictates.

Summary
This role will be reporting directly to a local Consulting Lead and will be a part of the client compliance process outsourcing advisory team. You should have a keen interest in regulation and compliance. Five to seven years experience is desired however you will also learn from the wider team, most of whom are experienced ex-regulators. We are a fast moving, growing compliance consultancy firm and the willingness to be flexible as tasks arise will be key for the successful candidate.

Responsibilities

Your role will be wide and varied and you will be expected to be willing to undertake the many tasks that arise when part of a flexible consulting team. The role will be challenging but conversely you will have the opportunity get to see the asset management and broking industries from a unique perspective as well as gaining exposure over time to other sectors as the business grow. A key part of your responsibilities will be in supporting the client advisory team assisting with regulatory work and client meetings.

Specifically, this could include, but is not limited to;

• Managing a portfolio of client relationships and having a client centric approach in order to retain existing business and grow business through identifying upsell opportunities through your knowledge of the client;

• Identify cross sell opportunities into the wider Group from your work;

• Working in a high-pressure and multi-tasking environment and achieving high billable utilisation (75%).

• Strong knowledge and application of the FCA Handbook including AIFMD, SMCR, MIFID II, IFPRU, and the financial promotions regime under COBS 4;

• Assisting in, and leading, compliance reviews, assessments and documentation drafting;

• Understanding and summarising regulatory change and writing articles for our newsletter;

• Participating in regulatory projects, such as annual compliance audits or mock-examinations;

• Advising clients on appropriate financial crime frameworks and getting involved in client due diligence work, screening and ongoing monitoring as required;

• Assisting with FCA authorisation applications, regulatory transactions and regulatory reporting;

• Taking part in and leading client visits, meetings and training sessions; and

• Keeping up to date with current regulatory developments and informing clients as necessary.

Qualifications

The successful candidate is likely to have a degree and/or be a compliance practitioner with three to five years relevant experience and/or have good understanding of the wholesale financial services sector. Good IT skills with the ability to learn the in-house compliance system.

Personality

• Friendly, enthusiastic and willing to learn;

• Ability to lead and work on projects alone or with the team;

• Clear and articulate communicator with the ability to adapt to different environments and personalities;

• Capable of working on-site at client offices using their own initiative;

• Ability to multi-task; and

Able to communicate with all levels of seniority within the client’s business

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