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Compliance Consultant (Asset Management)

Date: 22 Jul 2021
Sector: FINANCIAL MARKETS
Type: Permanent
Location: London
Salary: £80000 - 100000 per annum
Email: duncan@taylorjamesresourcing.com
Ref: DB528231

We are searching for an experienced Compliance Consultant with strong background in advising Asset/ Fund management Clients across a range of regulatory initiatives. This role is with a leading management consulting firm based in London.

Ideally you will have significant compliance-related experience gained at a financial institution, legal practice, consultancy and/or the regulator
• Proven track record of exceeding financial goals and sales targets; consulting experience would be advantageous
• Deep understanding of the FCA’s policies and procedures
• Strong technical knowledge and experience of advising funds, private equity, corporate finance, asset management and/or real estate firms
• Experience translating regulatory rules and guidance into meaningful, fit-for-purpose and pragmatic solutions for clients
• Experience managing client relationships

Client delivery

• Provide high quality advice and support to clients on a range of regulatory compliance matters. This may include:

o drafting and maintaining policies, procedures and compliance monitoring programmes
o delivering training sessions and workshops for compliance staff and senior management
o carrying out compliance health checks and periodic monitoring
o assisting with regulatory matters including authorisation applications and variations of permission
o responding to ad-hoc and routine regulatory queries

• Act as the main point of contact for a portfolio of clients. This may include:

o responding to all queries, managing client expectations and delegating work, where necessary
o reviewing the work of colleagues and providing constructive feedback
o ensuring accurate invoicing, timely payment and assisting the Finance team in resolving any queries
o dealing with any complaints quickly and effectively


• Actively partner with global sector teams to support and deliver on shared projects and responsibilities, where required
• Adhere to the firm’s Quality Assurance Framework prior to submission to the client
• Accurately record all client time in the CRM system
• Ensure all client files are in good order and details of relevant contacts are updated in the CRM system

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