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    Regulatory Affairs Associate Consultant - London, United Kingdom - Cosegic

    Cosegic
    Cosegic London, United Kingdom

    1 week ago

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    Description
    Associate Consultant, Prudential Services
    The purpose is to play a supporting role in ensuring best-in-class consultancy services and support to our clients.

    To ensure our clients are beyond satisfied with the quality of services they have engaged the firm for and we deliver on our contractual commitments.

    To work towards your own client book and seeking to establish and ultimately maintain a professional network from which to leverage guidance/advise on potential commercial opportunities.

    Support and on occasion deliver on work as detailed in the contractual scope of engagement to ensure a high-level of client satisfaction
    Assist in undertaking periodic compliance monitoring reviews and providing clients with formal reports
    Support clients with the completion of FCA periodic returns
    To assist with ad hoc Prudential advisory projects
    Provide clients with support to address Prudential issues or problems, as they arise
    Provide support on FCA Prudential notifications and reporting, including RegData and Connect notifications / applications and the full suite of returns for MIFIDPRU, AIFM, Payments and non-MIFIDPRU investment firms
    Ensure that established Quality Assessment procedures are followed, and which are in place for the team to ensure a high-level of client satisfaction
    Support application work, under supervision, for firms that wish to apply for FCA authorisation, to vary their Part 4A Permission, effect a Change in Control or a Change of Legal Status
    Support and acquire knowledge by working with 'Subject Matter Leader(s) (SML(s))' on topics as agreed from time to time relative to providing technical advice to clients, the team, identifying commercial opportunities relative to regulatory changes, thought leadership relative to those topics and also any changes to our consulting methodology
    Where appropriate and as agreed, inform clients of relevant changes in regulation and aid in updating of any relevant Manuals, policies, procedures and forms to enable the firm to comply with any new requirements
    Provide support to the maintenance of the compliance policies and templates
    On a competency based basis, and as directed, review and update compliance manuals, policies, procedures, forms, etc. in line with Cosegic standards and regulatory requirements
    Contribute to product developmentand/or internal projects as designated
    Learn how to interpret financial information including balance sheets, income statements and cash flow statements
    Preparation of marketing materials including press releases, regulatory updates and briefings
    Prepare financial forecasts to assist with authorisations, variations of permission, ICARAs and wind-down plans
    Prepare specific documents such as ICARAs and wind-down plans, gaining an understanding of the risk management process, with the need for accuracy, understanding client needs and managing expectations
    Ensure collaborative working, living the Cosegic values to support a great place to work and to achieve our business goals
    Provide practical support to wider team and clients relative to contracted services and client queries
    Ensure all people processes are adhered to, including preparing for your monthly one to ones and completion of performance reviews
    Ensure all internal systems are up to date by maintaining relevant and appropriate records of all activities carried out including, but not limited to: CMP+, People HR, salesforce, PortALL, Guru, MCC
    To support and recommend any improvements to the internal systems used by the Business Unit and the company
    Identify new business opportunities (cross selling) within our existing client base and in particular the clients you service

    Degree or equivalent work experience working in a regulated environment or professional services
    Technical IT capability and advanced ability of Microsoft applications
    Customer Service and Relationship Management – being client focussed, owning, responding to, and managing clients' needs to deliver a fit for purpose solution
    Manage self-development and learning - keep up to date on current and future developments within own scope of activities/field of expertise
    Able to modify behaviour to support and develop successful outcomes
    Planning and organising - demonstrates a pragmatic and organised approach to work and projects

    Results Orientated - taking ownership of own work and supports others that of others ensuring deliverables are on time and to a high quality.

    25 days annual leave
    Private Medical Insurance
    Employee Assistance Programme
    Pension Scheme
    Learning and development opportunities

    Cosegic is one of the UK's leading compliance consultancies that provides assistance with FCA Authorisation, ongoing compliance consulting, prudential services, compliance health checks and regulatory projects.

    We also provide online training and compliance software across our original software PortAll.

    We employ over 60 people who work together in industry specialist teams, servicing over 800 clients from the following sectors; wholesale investment firms (including hedge funds, private market firms, corporate finance and brokers), capital markets (including asset managers and broker/dealers), wealth management, payment services and cryptoassets, consumer credit and insurance and lending.

    We trust and help each other and speak up openly and honestly with no place for egos, politics or silo thinking.

    We constantly work to create an environment where people feel respected and in which they know their voice will be heard, as this brings out the best in everyone, resulting in the best service for our clients.

    This is a full-time, permanent role, worked over 5 days (hybrid), Monday to Friday. The role is open to hybrid working between home and our London office. Associate Consultant, Prudential Services
    Up to £32,000 per annum depending on experience
    #
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