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You will be responsible for helping manage a portfolio of clients and assisting / advising them in all regulatory matters pertaining to their business
You will be involved in FCA, SEC and CFTC applications, mock audits and ad hoc advice
Knowledge of AIFMD, MiFID, FCA Handbook (CRDIV, SEC and CFTC would be an advantage)
Ideally experienced with risk assessments, conflicts, ICAAPs, liquidity assessments, FCA Part 4A applications etc.
Should be presentable and confident to handle client relationships
Strong written communication skills a must
Entrepreneurial attitude, with a desire to help build a business and help clients do the same;
Clear, diplomatic and comprehensive communicator;
Our consultancy requires individuals capable of working on-site at client offices using their own initiative – alone or as part of a team;
Professional and calm under pressure – you will have to work in different environments often with the senior management of regulated firm.
Qualifications / Experience
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 FSA/FCA, in a compliance consultancy or in an in-house compliance position.