Regulatory Consultant- Investments

We are seeking a Regulatory Consultant to join the Investments practice of a well respected, high growth Compliance focused consultancy firm.

In this role you will be supporting a range of clients who offer wholesale investment products to both retail and institutional clients with a real breadth of compliance related support.

Key Responsibilities:

• Assisting with the drafting and submission of applications to the FCA for firms who fall in scope with both MiFID and AIFMD directives
• Performing the review of clients' Financial Promotions
• Providing clients with relevant and timely advice on regulatory developments which will impact them
• Conducting regulatory due diligence reviews as part of M&A projects
• Undertaking audits for clients on their existing regulatory frameworks and compiling detailed reports on your findings and recommendations
• Assist clients with the development of regulatory policies and procedures
• Building relationships with the existing client base to become a go-to, trusted advisor for any compliance queries

Experience and Competencies Required:

• 1-2 years’ experience within Financial Services, ideally with existing knowledge of FCA regulations
• Educated to degree level would be preferred
• High attention to detail with the ability to manage multiple projects and work streams at once, demonstrating strong written and verbal communication skills
• Strong desire to develop a career within regulatory compliance and have high motivations of professional development
• Solid work ethic, with ability to work individually and as part of a team on larger projects
• Excellent time-management skills

This is an incredibly high performing area of an already high performing business, so is a great opportunity for any compliance professional relatively early on in their career looking to gain broader exposure and professional development.

For a confidential discussion or to submit your interest in the role, please reach out to [email protected].

As a Certified B Corporation™, we take a different approach to how we do business. Recognised on an international scale as a company that operates for good, we value & incorporate the interests of all of our stakeholders to grow in the most sustainable manner. As a recognised Great Place to Work™, we ensure our workplace is one that fosters professional growth and collaboration.