SEC Compliance Consultant

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

Robert Quinn Consulting is a dynamic and growing London-based consultancy dedicated to helping financial services firms navigate an increasingly complex regulatory environment. Our clients include investment managers, hedge funds, asset managers and other financial institutions, who we advise on a number of financial regulations from the UK, Europe and US, including FCA, ESMA, SEC, CFTC, FINRA. We are known for our extensive compliance knowledge and our outstanding customer service. We provide a collegial environment and the tools for success.

Currently we are looking for Compliance Consultants with significant U.S. regulator experience (SEC and CFTC) to add to our Regulatory Consulting team.

Responsibilities include, but are not limited to:

  • Act as the primary compliance source or interface for our clients’ business functions
  • Deliver SEC and CFTC registration efforts
  • Provide compliance monitoring and support for UK clients regulated by SEC / CFTC  
  • Carry out FCA work alongside core SEC / CFTC responsibilities 
  • Provide resolutions for complex regulatory questions and issues
  • Deliver compliance projects and ad hoc services
  • Deliver timely and appropriate responses to requests for compliance advice and/or support
  • Provide support and participate in client sales presentations

Experience and Skills Required:

  • At least 4 – 6  years of SEC / CFTC compliance experience gained within a Compliance, specialist, or management consultancy, or a regulator
  • Knowledgeable about the FCA Handbook
  • Educated to a degree level (or equivalent)
  • Detail-oriented with the ability to analyse and interpret large volumes of data
  • Excellent customer service ethos
  • Strong client facing ability and experience, and capable of dealing with a wide range of clients
  • Excellent communication (verbal and written) and interpersonal skills
  • Strong MS Office skills
  • Fluency in additional languages a plus