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This position is responsible for: serving as a client relationship manager, conducting periodic on-site FCA-reviews in relation to retained clients, mock FCA reviews, completing policy and procedure reviews, and drafting reports and manuals that promote compliance with FCA rules and guidance.
Summary of Responsibilities:
Assist in evaluating the firms approach to the delivery of consulting services and implements agreed enhancements.
Complete all aspects of mock-FCA review inspection fieldwork, including supervising and reviewing the work of staff.
Write mock-FCA inspection reports and review drafts prepared by other staff.
Perform policy and procedure reviews, including supervising and reviewing the work of staff. Assist FCA-regulated clients in developing and documenting their compliance framework.
Manage a portfolio of client mandates and support clients with their compliance questions and requirements.
Support clients where requested in interactions with the FCA during visits, and/or requests for information.
Conduct research to formulate positions on FCA rules and related guidance.
Supervise and train Graduate Trainees, Consultants, and Compliance Analysts.
Identify business opportunities to provide a more comprehensive offering of compliance services to existing clients.
Write articles, make presentations, and give speeches on compliance topics.
Summary of Minimum Qualifications and Knowledge Requirements:
Strong academic background: (e.g. degree level, or recognised professional qualification), plus the CFA Investment Management Certificate - Units 1 and 2 (or equivalent).
Strong working and commercially minded knowledge of the Financial Services and Markets Act 2000, the Markets in Financial Instruments Directives, the Alternative Investment Fund Managers Directive, and related FCA rules and guidance.
Exceptional oral and written communication skills, as well as advanced presentation skills.
Strong organisational and client-relationship management abilities.