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Our client is a regulatory consultancy for the wholesale finance sector.
Specifically, this could include, but is not limited to:
Undertaking compliance reviews, assessments and presenting recommendations to Compliance Officers, compliance staff and senior management;
Providing commercially sound regulatory solutions and advice to the senior management of a wide range of entrepreneurial regulated clients;
Managing or participating in regulatory projects, such as annual compliance audits or mock examinations;
Conducting research, writing articles, and/or making internal or client presentations on compliance specific issues.
Assisting with the project management of FCA authorisation applications;
Keeping up to date with current regulatory developments and informing clients as necessary.
Subject to client demand there is also the opportunity to work with US colleagues on US regulatory matters / projects (SEC/ CFTC).
The successful candidate will have a proven track record in compliance gained within a wholesale financial services environment including working at the FCA, at a compliance consultancy or in an in-house compliance function;
Strong academic background (i.e. degree level or recognised professional qualification)
Sound working 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;