Compliance Consultancy - Buy Side Experience Essential

JR United Kingdom; Slough; On-site; GBP 55,000 - 75,000; Full time

Job summary

A prominent compliance consultancy located in Slough is seeking an experienced compliance consultant with a background in asset management clients. The role involves leading compliance initiatives, providing advice, and maintaining strong client relationships to ensure regulatory adherence. Ideal candidates should possess a thorough understanding of the FCA Handbook and have significant experience in compliance roles.

Qualifications

• Experience in compliance or management consultancy, especially with asset management clients.
• Thorough knowledge of the FCA Handbook.
• Experience in compliance monitoring or similar roles.

Responsibilities

• Serve as primary compliance resource for multiple clients.
• Lead monitoring reviews both on-site and remotely.
• Implement policies and provide compliance training.

Skills

Client-facing skills

Excellent verbal communication

Excellent written communication

Job description

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Compliance Consultancy - Buy Side Experience Essential, Slough

Client:

Confidential

Location:

Slough, United Kingdom

Job Category:

Other

EU work permit required:

Yes

Job Views:

5

Posted:

31.05.2025

Expiry Date:

15.07.2025

Job Description:

Our client is a very successful compliance consultancy specializing in asset management clients, primarily FCA regulated, with an increasing number of SEC and NFA/CFTC clients.

Responsibilities include, but are not limited to:

• Serving as the primary compliance resource for multiple clients
• Leading monitoring reviews both on-site and remotely
• Implementing policies as applicable
• Assisting with background screening checks and liaising with the FCA
• Providing compliance training both on-site and remotely
• Offering compliance advice
• Reviewing and approving financial promotion materials
• Updating clients on regulatory changes and their business impact
• Supporting senior management as needed
• Building and maintaining client relationships

Key Skills / Experience:

• Experience in compliance or management consultancy, regulatory hosting, asset management (including hedge funds, private equity, real estate, and other alternatives), or with a regulator such as the FCA
• Thorough knowledge of the FCA Handbook
• Experience in compliance monitoring or similar roles
• Ability to develop regulatory solutions to meet compliance needs
• Strong client-facing skills
• Excellent verbal and written communication skills