Compliance Consultancy - SEC knowledge essential in London Area

Austin Andrew is looking for an Compliance Consultancy - SEC knowledge essential in London Area

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Job description

Our client is a very successful compliance consultancy

Whilst most of its asset management clients are FCA regulated , an ever-increasing number are SEC and NFA/CFTC

Responsibilities include, but are not limited to:

Primary compliance resource for a number of clients
Leading monitoring reviews both on-site and remotely
Implementation of policies as applicable
Assisting with background screening checks as necessary and liaising with the FCA
Provision of compliance training, both on-site and remotely
Providing compliance advice
Review and approval of financial promotion materials
Updating on regulatory change and how it impacts their business
Providing support to senior managers where required
Building and developing client relationships

Key Skills / Experience

Experience gained within a compliance or management consultancy, regulatory hosting firm, asset manager (including hedge funds, private equity, real estate and other alternatives), or a regulator such as the FCA
Thorough knowledge of the FCA Handbook
Experience of compliance monitoring or similar
Excellent customer service ethos
Ability to implement regulatory solutions to address compliance needs
Strong client facing ability
Excellent verbal and written communication skills
Ability to multi-task
Degree educated or similar

Must hold the right to work in the UK

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