Senior Compliance Regulatory Consultant

Our client is a City and London based Regulatory Consultancy Due to continued expansion they are seeking to employ and experienced regulatory consultant with mainly ‘Buy-Side’ client exposure, although some SEC work will also be undertaken.

Duties and responsibilities will include;

  • Managing your own clients
  • Undertaking regular scheduled visits to clients – for updates, compliance reviews, occasional Board meetings etc.
  • Creating regular monitoring reports and other reports/reviews.
  • Providing advice and support to clients on an ad hoc basis including keeping clients advised of any compliance updates.
  • Creation of bespoke presentations for clients and providing training on specific subjects where needed.
  • Planning and pulling together FCA applications – this will include writing business plans, compliance monitoring programmes, answering FCA queries and a degree of admin.
  • Supporting clients through FCA visits where necessary.
  • Ad hoc project work – GAP analyses etc.
  • Occasional SEC work.
  • Attending work events to market Portman services.
  • Cover client queries when colleagues absent.
  • Managing Junior Consultants and assisting them with more complex client queries.

Candidate Profile

The successful candidate will have the following:

  • Well educated to degree level, additional industry qualifications preferred
  • Minimum3-5 years Asset Management regulatory consulting experience
  • You may have also worked in-house with a highly regarded Asset Manager in a generalist role
  • Or worked with a regulator
  • Should be able to manager junior member of staff
  • Excellent presentation and communication skills, familiar with client facing assignments

If you feel you are a suitable candidate for this position please contact Jonathan Banjo

©2021 AJB Executive Search. All rights reserved

Website by Intertec