Regulatory Compliance Consultancy x 3 (Buy or Sell-Side)

  • c.£90,000
  • London, England, United Kingdom
  • Permanent, Full time
  • LMA
  • 07 Dec 17 2017-12-07

I have three unique positions within diverse global regulatory compliance consultancies These roles are focused on each of the following areas : (a)Private Equity/Real Estate (b)Wealth Management (c) Broking/Securities


Clients typically range from start-ups to large firms with well-established track records and utilise a broad array of investment strategies and styles 


These are varied roles and responsibilities include (but are not limited to):


  • Provide clients with responsive regulatory advice and solutions
  • Update clients on regulatory change and how it impacts their business
  • Draft manuals and other compliance documentation for clients
  • Set up relevant compliance infrastructure for clients
  • Carry out regular compliance monitoring reviews onsite with clients, and subsequently write compliance monitoring reports
  • Lead compliance project assignments across a diverse range of clients



Key Skills / Experience:


  • Proven compliance expertise gained over a number of years across:
  • Compliance consultancy
  • Private Equity
  • Real Estate
  • Asset / Investment Management
  • Broking/Securities 


 Ability to implement solutions to address the regulatory requirements of the client

  • Sound knowledge of the FCA handbook
  • Experience of monitoring and the ability to develop compliance monitoring programmes and techniques
  • Strong client facing ability
  • Excellent oral and written communication skills


 For these hires there is  a strong preference for someone who has:


  • Developed their compliance expertise 
  • Generalist experience as opposed to niche exposure (i.e. financial crime)
  • Experience of running and developing compliance monitoring programmes
  • Solid knowledge of the rules / handbooks
  • Experience of MiFID2 beneficial 



Clients have a supportive team environment and offer the potential for flexible working.