Compliance Consultant - Buy-Side

Austin Andrew; Greater London; On-site; GBP 40,000 - 56,000; Full time

Job summary

Austin Andrew is recruiting for a junior compliance professional to support senior consultants in managing retained client relationships within the investment management sector. The role involves attendance at client meetings, both on-site and via video, and helping set up compliance infrastructure.

You will assist with monitoring and reporting on compliance projects, and help with FCA-related applications.

Qualifications

• 1-2 years’ experience in compliance or consultancy
• Understanding of UK regulatory landscape and FCA Handbook
• Degree educated or equivalent
• Excellent verbal and written communication skills

Responsibilities

• Support senior consultants as the primary compliance resource for client relationships
• Attend client meetings on-site or via video conference with senior consultants
• Assist with setting up compliance infrastructure for clients
• Contribute to compliance projects, monitoring reviews and reports
• Manage FCA applications on behalf of clients (e.g., Approved Persons)
• Assist with preparing and delivering compliance training
• Track regulatory changes and explain impact to clients
• Provide strategic regulatory advice to anticipate client needs
• Build and develop long-term client relationships

Skills

Regulatory compliance experience

UK regulatory knowledge

FCA Handbook knowledge

Excellent communication

Education

Degree or equivalent

Job description

Our client is a boutique (but with a global footprint) compliance consultancy focused on the investment management sector

Key Responsibilities

• Working with senior consultants and supporting them in their roles as the primary compliance resource for a number of retained client relationships
• Attending client meetings, both on-site and by video conference, in conjunction with senior consultants
• Assisting with setting up compliance infrastructure for clients
• Assisting with compliance projects, monitoring reviews, and drafting compliance monitoring reports
• Managing certain FCA application processes on behalf of clients, for example in relation to Approved Persons applications
• Assisting with preparation and delivery of compliance training
• Understanding and updating clients on regulatory change and how it impacts their business
• Providing strategic compliance advice, anticipating the regulatory compliance needs of our clients
• Building and developing client relationships

Key Skills / Experience

• 1 - 2 years’ experience gained within a compliance, specialist or management consultancy, asset manager (including hedge funds, private equity, real estate and other alternatives), law firm or a regulator such as the FCA, SEC, NFA, etc. is preferable
• An understanding of the UK regulatory landscape and the FCA Handbook
• Degree educated or similar
• Excellent verbal and written communication skills