Are you looking for a new challenge working with FCA regulated businesses? Compliancy Services Ltd is one of the UK's leading providers of compliance consultancy and regtech services. We are an award-winning company that helps firms become authorised by the Financial Conduct Authority (FCA) or the Prudential Regulation Authority (PRA) and supports them thereafter. Our team includes highly experienced compliance consultants from across the financial services industry and also the regulator. Our Capital Markets team is rapidly growing and as a result, we are looking for an Associate Director to support the further growth of the business.
The Associate Director is a senior position within the team and will:
- Have ownership of a portfolio of clients across multiple Capital Market FSMA sectors
- Have both client advisory and delivery targets
- Provide technical compliance support to the company’s clients within a range of projects and engagements; across a range of FSMA sectors
- Support junior colleagues in their work and through their professional development through coaching and mentoring
- Support in the negotiation of new contracts with clients
- Can understand client needs/demands and see the ‘bigger picture, identifying and recommending best solutions (or practice)/ proposals for clients
- Have a strong commitment to personal development ensuring technical awareness and maintaining up to date regulatory knowledge, adding value to the business by disseminating information to departments
- Be known as a compliance subject matter specialist in their area of expertise
- Create thought leadership pieces for publication within either CM newsletter, LinkedIn or Webinars
- Talking to new client prospects, providing technical advice and proposals, creating and building upon client leads
- Business development target to be assigned
- Working closely with the Capital Markets Directors and Marketing to provide input into the development of a marketing plan relevant to business area.
- In conjunction with the Director/MD - supporting in the development and execution against internal business targets and KPIs with the Board from time to time and working to them.
- Managing client projects from beginning to end as assigned.
- Building client relationships at all levels in conjunction with others or independently with approval.
- Maintaining technical knowledge in the light of changing regulations.
- Reviewing junior colleagues' work where required or assigned to do so and providing feedback and advice both to improve the specific work and to assist that individual’s skills.
- Maintaining records of all activities carried out and updating the internal systems accordingly and in line with company procedures – responsible for self and team monthly Timesheet completion – reporting issues to Director/MD within minimum timeframe.
- Researching specific technical issues and providing feedback to clients and colleagues.
- Providing ongoing input to Director and or company management as requested or assigned to do so regarding improvements that may be made in the company’s services, procedures and the business generally.
Management and Development
- Strong commitment to personal development ensuring technical awareness and maintaining up-to-date regulatory knowledge.
- Supporting junior colleagues in their work and through their professional development through coaching and mentoring.
Key Working Relationships
- External clients
- Team members
- Colleagues in Capital Markets and across other Business Units and back-office functions
- Board Directors as required from time to time
Qualifications, Skills and Experience
- Appropriate professional qualifications are highly desirable, which might include any of ACA, ACCA, LLM, MBA and industry qualifications
- A minimum of 15 years commercial experience involving financial services and at least 5 years technical compliance experience
- Three years client facing experience in professional services or consulting roles
- Strong COBS, SYSC and PRU regulatory knowledge is essential
- Excellent interpersonal skills
- Outstanding verbal and written communication skills
- Ability to manage own time effectively and organise competing priorities
- A clear understanding of the commercial role of Risk Management
- Strong PC skills in office applications
- Highly structured working approach
Technical and Behavioural Competencies
- Knowledge of the relevant regulatory sector(s)
- Knowledge of FCA firm types
- IT capability including Microsoft applications
- Managing learning and building for the future
- FCA application process including usage of Connect
- Firm Risk Frameworks
- Evaluating the commercial impact of regulatory developments
- Policy & Procedure writing
- Project Management
- Researching/writing/presenting training material
- Sales Proposals, construction & delivery
- Customer Service and Relationship Management
- Creating the Future
- Managing Learning
- Leadership and Integrity
- Commercial Management
- Results Orientated
- Operates well under pressure
- Personal impact
Capabilities and Behaviours
Compliancy Services Ltd has a framework of behavioural and technical competencies which are applied across all roles. These are designed to enable employees to understand what is required “on the job” and as a means to identify where further personal development can enable career progression within the organisation.
The job description maybe subject to amendments as the role evolves and changes are required to be in line with business needs. The Company, therefore, reserves the right to vary the duties, responsibilities, capabilities and behaviours set out in this document, from time to time, according to the needs of the company’s business and client demands.