Compliance Consultant

The Opportunity:

The individual in this position is responsible for participating in and ensuring the successful execution of certain compliance reviews and consulting work conducted for clients. The individual in this position will conduct careful analyses of clients books and records for potential regulatory deficiencies, as well as draft reports, prepare documents, and summarize findings for clients. They are strongly encouraged to utilize additional training and development resources available to continue their development.

What you'll do:

• Assist with service offerings including, but not limited to: Regulatory filings; Expert network chaperoning; Anti-money laundering support; Electronic communication review; Code of ethics and personal trading reviews; Marketing review.

• Analyze clients books and records for potential regulatory issues.
• Interpret complicated and nuanced documents to identify potential regulatory risks.
• Assist with the planning of upcoming reviews, including participating in calls with clients, reviewing client policies and procedures, and working with supervisors to understand project scope and applicable regulatory risks.
• Draft reports for clients summarizing review and any findings from such reviews.
• Perform other ad-hoc work/special projects as necessary to support various client and internal initiatives including, but not limited to: Analyst training; Attend conferences and roundtable events; Assist with customized client engagements.

To qualify for the role, you must have:

• Strong academic background (i.e. degree level or recognized professional certification)

Skills and attributes for success:

• 0-3 years relevant financial services experience and/or knowledge of the UK regulatory regime, such as Financial Services and Markets Act 2000, the Markets in Financial Instruments Directive, the Alternative Investment Funds Managers Directive, other applicable FCA rules and guidance.