Compliance Consultant

  • Competitive + Bonus
  • London, England, United Kingdom
  • Permanent, Full time
  • Robert Quinn Consulting
  • 13 Sep 16

We are a growing consulting firm with a dynamic and supportive environment looking for regulatory compliance professional European and U.S. regulatory obligations: FCA, ESMA, SEC, CFTC, FINRA. Our clients range from investment managers, brokers, market makers and banks who utilise a variety of strategies across a variety of financial instruments. If interested, please include a Cover Letter with your CV and you must already hold the right to work in the UK.

This client-facing role is suited for an individual with initiative and a genuine interest in compliance. We are known for our outstanding customer service and we will provide you with the tools for success in this role. Responsibilities include:

  • Managing a portfolio of clients and assisting them in regulatory matters pertaining to their business
  • Understanding and updating clients on regulatory change and how it impacts their business
  • Undertaking compliance projects, monitoring reviews with clients, and drafting compliance monitoring reports
  • Conducting compliance training
  • Building and developing client relationships
  • Supporting and learning from our senior consultants

Required Key Skills / Experience:

  • 5-7 years experience within financial compliance gained within a compliance or management consultancy, asset management (including hedge funds, private equity, real estate and other alternatives), securities firms or a regulator such as the FCA, SEC, NFA, etc.
  • Working knowledge of the FCA Handbook 
  • Experience of compliance monitoring or similar
  • Excellent customer service ethos
  • Ability to implement regulatory solutions to address the needs of the client
  • Degree educated or similar
  • Strong client facing ability
  • Excellent verbal and written communication skills