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Subject Matter knowledge - The role will require an in-depth knowledge and understanding of the FCA handbook as well as the current and up-coming regulations and directives applicable.
Financial awareness - understands the principles of managing financial assets and can track and maintain awareness of client engagements and monitor profitability
Relationship management - able to develop and maintain strong relationships with clients and intermediaries.
Commercial awareness - have a broad knowledge of the investment management market and understands the business objective and growth intentions.
Risk awareness - able to recognise and respond to risk situations and stays up to date with appropriate legislation and professional standards.
Communication - demonstrates good listening and questioning skills and has strong spoken and written communication.
Teamwork - must be able to be autonomous in performing their duties, but as a small team there is a high degree of overlap and dynamic which forms and integral part of the role. Must be willing to pitch in to help other team members who are under pressure.
Leadership - As the firm grows, the individual must be able to inspire others through own actions and behaviour, and provide mentoring to more junior employees
Proven track record within compliance gained within Compliance consultancy (preferably)
Ability to implement solutions to address the regulatory requirements of the client
Sound knowledge of the FCA handbook, ESMA and SEC where required
Experience of monitoring and the ability to develop compliance monitoring programmes and techniques.
Strong client facing ability.
Excellent oral and written communication skills.
circa £100,000 base plus a high bonus potential/ package.