Compliance Consultant

Michael Page International Rec Ltd
11 Aug 2017
08 Sep 2017
Contract Type
Reporting to the Director of Regulatory Consulting, you will undertake an extremely varied and rewarding role becoming central to the client advisory team and managing a portfolio of clients.

Client Details

A regulatory consultancy for the wholesale finance sector working with a broad range of clients that include hedge funds, fund of funds, long-only managers, private equity, venture capital, institutional brokerage, capital introduction and investment advisers.


- Undertaking compliance reviews, assessments and presenting recommendations to Compliance Officers, compliance staff and senior management;

You will be responsible for your own portfolio of clients and assisting / advising them in all FCA regulatory matters pertaining to their business.

- Providing commercially sound regulatory solutions and advice to the senior management of a wide range of entrepreneurial regulated clients;

- Managing or participating in regulatory projects, such as annual compliance audits or mock examinations;

- Conducting research, writing articles, and/or making internal or client presentations on compliance specific issues.

- Assisting with the project management of FCA authorisation applications;

- Keeping up to date with current regulatory developments and informing clients as necessary.

- Subject to client demand there is also the opportunity to work with US colleagues on US regulatory matters / projects (SEC/ CFTC).


- The successful candidate is likely to be professionally educated and/or a compliance practitioner with relevant experience of wholesale financial services from working at the FCA, in a compliance consultancy or in an in-house compliance position;

- Strong academic background (i.e. degree level or recognised professional qualification), in addition to the CFA Investment Management Certificate - Units 1 and 2

- Sound working knowledge of the Financial Services and Markets Act 2000, the Markets in Financial Instruments Directives, the Alternative Investment Fund Managers Directive, and related FCA rules and guidance;

Job Offer

Excellent institution and competitive salary.