Compliance Consultant

  • Competitive
  • London, England, United Kingdom London England GB
  • Permanent, Full time
  • Robert Quinn Consulting
  • 16 May 18 2018-05-16

Robert Quinn Consulting is a dynamic and growing London-based consultancy dedicated to helping institutional or wholesale 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.

If you are interested in this role, we request a Cover Letter along with your most recent CV.

This client-facing role is suited for an individual with initiative and a genuine interest in compliance. Responsibilities include:

  • Managing a portfolio of clients and assisting them in regulatory matters pertaining to their business
  • Processing FCA authorisation applications 
  • Undertaking compliance projects, monitoring reviews with clients, and drafting compliance monitoring reports
  • Initiating, developing and maintaining client relationships
  • Supporting and learning from our senior consultants

Required Key Skills / Experience:

  • 2 - 4 years experience in wholesale or institutional financial regulatory compliance gained at a compliance or management consultancy firm is most key; experience at an asset management firm (including hedge funds, private equity, real estate and other alternatives), securities firm or with a regulator such as the FCA, SEC, NFA, etc. is favourable but not necessary
  • Working knowledge of the FCA Handbook 
  • Experience of compliance monitoring or similar
  • Excellent customer service ethos
  • Strong client facing ability
  • Degree educated or similar
  • Detail oriented and multi-tasker
  • Excellent verbal and written communication skills
  • Must hold the right to work in the UK

If you believe you are a good fit for this role, we encourage you to apply by sending us a Cover Letter along with your most recent CV.  Only favourable candidates will be contacted.