- Competitive with clear progression
- London, England, United Kingdom
- Permanent, Full time
- 14 Aug 17
Cordium is the leading global provider of compliance consulting services to the asset management and securities industry. Cordium has offices in London, New York, Boston, San Francisco, Hong Kong and Malta, employing over 200 experienced professionals who support more than 1500 investment businesses.
Our clients range from start-ups to large firms with well-established track records and utilise a broad array of investment strategies and styles such as: long only, long/short equities, global macro, credit, distressed, bank debt, fixed income, private equity, venture capital, real estate-related and fund of fund strategies.
As part of our continued growth plans we are looking to hire a number of Associate Consultants to join our Regulatory Consulting business.
The successful candidates will be responsible for delivering a range of client focused work including monitoring / testing in support of more senior consultants, as well as work on FCA applications.
Applications focused work:
Core work focuses on Part IV Permissions, Change in Control Applications, Variation of Permission Applications, Change of Legal Status Applications, Approved Persons Applications and De-registration Applications.
More generally you will be responsible for:
- Drafting forms, documents, supporting information, etc, as required for the above
- Assisting in the project management of all such applications by firms
- Liaison with clients, the FCA and other third party service providers
- Liaison with other consultants within the business to facilitate the handover of FCA applications clients to the on-going consulting team
- Assisting sector leaders as required
- Attending external legal briefings as directed
- Reviewing and digesting regulatory developments and where applicable preparing a précis for dissemination within the consulting team
- Participating in the firm’s external events as required
- Assisting with the updating applications infrastructure and tools as directed
Monitoring focused work:
- Set up and maintain new client infrastructure
- Perform compliance monitoring in line with a plan agreed with a supervising consultant
- Production of draft client monitoring reports
- Provide information on regulatory developments to clients, both by means of quarterly visits, or where more urgent, by contacting clients individually
- Assist supervising consultant to maintain full client details and, as appropriate, correspondence and client documentation on CRM system
- Identify additional fee / business opportunities as appropriate
- Maintain a good awareness of the client’s business, raising any concerns with the firm’s management immediately
- Assist Subject Matter Leaders to develop technical knowledge as required
- Assist colleagues to research client technical matters
- Attend external legal briefings as requested
- Review regulatory developments and prepare entries on the client issues log
- Participate in external Cordium events as required
- Assist with the updating of infrastructure and tools as directed
- You need to be educated to graduate level from a recognised University in a relevant subject
- Have attained a high-level of achievement at A-level and GCSE
- Have a demonstrable interest in developing a career within compliance
- Some compliance is preferred but not essential
This is an outstanding opportunity to join a highly successful business and receive excellent training and development with a proven career path.
We are looking for candidates who are able to join us in early September.
Please submit your CV including brief covering letter to: firstname.lastname@example.org