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My client, a leading global provider of compliance consulting services within asset management and securities, are seeking multiple high calibre individuals who possesses sound knowledge of the FCA handbook, and has proven compliance experience gained across Private Equity, Real Estate or Asset/Investment management to join their Compliance Consulting business. Experience of MiFiD II desirable.
Clients range from start-ups to large firms with well-established track records and utilise a broad array of investment strategies and styles such as: long only, long/short equities, global macro, credit, distressed, bank debt, fixed income, private equity, venture capital, real estate-related and fund of fund strategies.
As part of growth plans we are looking to hire an experienced compliance professional with Private Equity and / or Real Estate experience.
This is a varied role and responsibilities include (but are not limited to):
* Provide clients with responsive regulatory advice and solutions * Update clients on regulatory change and how it impacts their business * Draft manuals and other compliance documentation for clients * Set up relevant compliance infrastructure for clients * Carry out regular compliance monitoring reviews onsite with clients, and subsequently write compliance monitoring reports * Lead compliance project assignments across a diverse range of clients
Key Skills / Experience:
* Ability to implement solutions to address the regulatory requirements of the client * Sound knowledge of the FCA handbook * Experience of monitoring and the ability to develop compliance monitoring programmes and techniques * Strong client facing ability * Excellent oral and written communication skills * Proven compliance expertise gained over a number of years across: o Compliance consultancy o Private Equity o Real Estate o Asset / Investment Management
For this hire we have a strong preference for someone who has:
* Developed their compliance expertise with a focus on Private Equity and / or Real Estate compliance * Generalist experience as opposed to niche exposure (i.e. financial crime) * Experience of running and developing compliance monitoring programmes * Solid knowledge of the rules / handbooks * Experience of MiFID2 beneficial
My client is an established firm with a proven client base and solid infrastructure where you will find the opportunity to work with an established and diverse client base. There are excellent opportunities to learn / develop and get involved in a broad range of work.