Compliance Consultant

  • Competitive
  • London, England, United Kingdom London England GB
  • Permanent, Full time
  • Exchange Consulting
  • 23 May 18 2018-05-23

Our Client is a specialist financial services regulatory and compliance consulting firm, seek an Compliance Consultant to join their busy team of experience Compliance Consultants. Working closely with financial services providers to advise them on all aspects of their regulatory ligations. Providing retained and advisory compliance support to their clients, ranging from start-ups that require authorisation advice to established brokerage, corporate finance advisors, electronic money institutions, payment services firms and wealth managers.

The Role

In this role, you will be providing a mix of technical advice and practical support to a diverse client base.  Predominantly, this will come in the form of project work for clients, in assisting them with their FCA authorisation and/or related notifications, but this could also arise as part of ongoing relationship with the client. 

The small team strive to provide a personalised service,  Consultants tend to become a trusted and integral part of the client’s authorisation journey.  You will have the opportunity to get involved with everything from pitching for business through to delivering the work.  You will often be the first exposure a client has to financial services regulation and the role of compliance.  

 The scope of such work will include, but not be limited to:

• Helping new firms through the FCA authorisation process including advising them on the best permissions for their business, preparing their application pack, and getting the team and processes ready to be regulated.
• Notifications to the FCA, seeking pre-approval for key business changes from the FCA such as ownership structures or members of staff.
• Research: researching new regulatory developments and understanding how they affect our clients, ahead of implementation, so that we can keep them ahead of the curve.

Each client’s needs and requirements will differ; you will often find yourself managing multiple tasks across multiple clients. 

Personal Specification

Qualification:  Degree level educated and/or or equivalent qualifications
Experience:  At least 24 months working within a Compliance function. 
 Exposure to, and familiarity with, the FCA authorisation process across any of the following regulatory spheres: MiFID II, Payment Services and Electronic Money.
 A good understanding of the FCA Handbook and its impact on firms.
Demonstrable client facing experience within a compliance environment.
Genuine interest in developing a career within compliance. 

Personal Attributes

• Excellent relationship building skills
• Superb judgement
• Eye for detail
• Dealing with multiple clients in a consultancy environment
• Excellent communication - both written and verbal
• Proven organisational skills
• Numeracy
• Proven ability to deal with confidential matters and with discretion
• Must be able to multi-task and keep calm under pressure
• Good team player
• Strong knowledge of Microsoft Excel and Word

The following regulatory topics are of particular interest to the client: MiFID II, PSD II, Financial Crime, Conduct Risk including Appropriateness and Suitability, and Consumer Credit.