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Conduct and Control Compliance

Date: 15 Sep 2021
Sector: FINANCIAL MARKETS
Type: Permanent
Location: London
Salary: £80000 - 90000 per annum
Email: duncan@taylorjamesresourcing.com
Ref: dbeu456676581

Our client is looking for a Compliance and Regulation Consultant to advise Clients on a wide range of regulatory compliance matters in Wealth management Clients.

It is essential you have had Compliance Consulting experience of delivering high quality regulatory advice and support in the areas of Conduct and Control to clients involved in the distribution of investments – mainly wealth managers/stockbrokers, financial planners and Private Banks.


Educated to degree level Ideally you will be

  • Diploma level compliance-related qualification, or willing to study towards
  • Demonstrable compliance-related experience gained at a financial institution, legal practice, consultancy and/or the regulator
  • Good understanding of FCA rules and regulations
  • Some knowledge and experience of advising funds, private equity, corporate finance, asset management and/or real estate firms
  • Excellent Microsoft Office skills
  • Ability to prioritise multiple projects and engagements while meeting tight deadlines
  • Confident networking and/or delivering presentations

Key responsibilities Include

  • Drafting and maintaining regulatory policies, procedures and compliance monitoring programmes
  • Developing training materials and assisting in delivering training sessions
  • Assisting with regulatory matters including authorisation applications and variations of permission
  • Carrying out compliance health checks and periodic monitoring
  • Responding to ad-hoc and routine regulatory queries
  • Actively partner with global sector teams to support and deliver on shared projects and responsibilities, where required
  • At all times adhere to the firm’s Quality Assurance Framework prior to submission to the client
  • Arrange and help prepare for client meetings
  • Foster a professional relationship with clients and contacts, ensuring regular and open communication
  • Assist the team with marketing and business development activities



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