Senior Compliance Consultant

Our client, an award winning Compliance Consultancy firm are looking for a Senior Compliance Consultant to support the growth of the business.

The Senior Compliance Consultant will be responsible for delivering a range of financial services solutions to its clients. The individual will need to demonstrate independence of thought, a willingness to challenge where appropriate, be able to work within the Investments team, be pro-active and establish effective client relationships. 

Role Responsibilities:

• Undertake day to day client management including supportive consultancy, firm audits & file checks.
• Be capable of dealing with in-depth and highly technical compliance queries.
• Be able to draft internal technical papers and contribute to manual/toolkit development.
• Have existing knowledge /experience of Discretionary Fund Management & Retail Financial Advisers.
• Operate at client offices or from home.
• Be required to work flexibly to cater for the needs of the business and clients.
• Willing to work away from home, including overnight stays.
• Keeping up to date with regulatory requirements applicable to the firms client base and ensure timely implementation of changes including updates to policies and procedures.
• Self-starter attitude to completing client work and delivering high-quality client service levels, as well as mentoring junior team members to do the same.
• Supporting in the delivery of client projects, including oversight, task delegation and quality assurance.
• Responsible for the smooth running of client projects.
• Undertaking client audits, including reporting and making recommendations relating to address any areas of concern.
• Multitasking and managing multiple client projects at any given time.
• Ability to work under pressure, with tight turn arounds and with consideration for regulatory or client deadlines.
• Understanding the principles of utilisation, working on client projects as efficiently as possible within the scope provided. Being accountable for own time management and that of the junior staff on a project.
• Strong client relationship and key account management, becoming their trusted advisor.
• Experience with taking FCA applications through to completion desirable.

Key Skills and Responsibilities:

• Must have a detailed understanding of the financial services retail sector, and be able to apply knowledge of applicable regulation to the business requirements of our clients.
• A working knowledge of the FCA handbook including MiFID II, MiFIDPRU, SM&CR and COBS.
• Relevant Financial services background and experience essential.
• Be qualified in the Diploma in Financial Planning (or equivalent).
• Advanced CII Qualification(s) desirable
• Educational attainment at degree level useful but not essential
• Full UK driving license is a requirement

Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.

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