Compliance Consultancy - SEC knowledge essential

Our client is a very successful compliance consultancyWhilst most of its asset management clients are FCA regulated , an ever-increasing number are SEC and NFA/CFTCResponsibilities include, but are not limited to:Primary compliance resource for a number of clientsLeading monitoring reviews both on-site and remotelyImplementation of policies as applicableAssisting with background screening checks as necessary and liaising with the FCAProvision of compliance training, both on-site and remotelyProviding compliance adviceReview and approval of financial promotion materialsUpdating on regulatory change and how it impacts their businessProviding support to senior managers where requiredBuilding and developing client relationshipsKey Skills / ExperienceExperience gained within a compliance or management consultancy, regulatory hosting firm, asset manager (including hedge funds, private equity, real estate and other alternatives), or a regulator such as the FCAThorough knowledge of the FCA HandbookExperience of compliance monitoring or similarExcellent customer service ethosAbility to implement regulatory solutions to address compliance needsStrong client facing abilityExcellent verbal and written communication skillsAbility to multi-taskDegree educated or similarMust hold the right to work in the UK

Created: 2025-08-01