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- Managing client relationships, providing guidance and support on their FCA regulatory obligations
- Providing training on regulatory change and assisting with the change and development of their policies and procedures.
- Being the main point of contact for technical queries relating to the regulatory environment, including reviewing marketing materials.
- Assisting firms through FCA application processes and Change in Control.
- Conducting compliance monitoring reviews, providing comprehensive feedback to the business.
- Strong consultancy expertise and experience growing a function - Commercial/business development skills.
- Expert FCA regulatory knowledge applicable to Investments firms, including MiFID and AIFMD.
- Detailed knowledge of SMCR, Conduct of Business, AML and Market Abuse requirements.
- Confidence in stakeholder management and relationship development.
Senior Compliance Consultant - London Area, United Kingdom - InterQuest Group
Description
InterQuest are currently supporting a leading specialist consultancy in finding a talented compliance consultant to support the growth of their Investments division. As a regulatory expert in the space, this would be a great opportunity for leverage your consultancy expertise and take the next step in your career in what is a culture-orientated business focussed on providing the best support to their clients.
Responsibilities include:
The right candidate will have:
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