Compliance Consultant - Buy-Side

Austin Andrew; Slough; On-site; GBP 36,000 - 52,000; Full time

Job summary

Austin Andrew is seeking a junior Compliance Consultant to support senior consultants as the primary compliance resource for retained client relationships in the investment management sector. You will attend client meetings on-site or via video, help set up compliance infrastructure, and assist with projects, monitoring reviews and training delivery.

The role requires 1–2 years’ experience, understanding of the UK regulatory landscape and FCA Handbook, and a degree, with strong communication and

Qualifications

• 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
• Excellent customer service ethos
• Degree educated or similar
• Excellent verbal and written communication skills
• Ability to multi-task
• Must hold the right to work in the UK

Responsibilities

• Support senior consultants as the primary compliance resource for client relationships
• Attend client meetings on-site and by video conference
• Assist with setting up compliance infrastructure for clients
• Assist with compliance projects, monitoring reviews and drafting compliance monitoring reports
• Manage FCA application processes on behalf of clients (e.g., Approved Persons applications)
• Assist with preparation and delivery of compliance training
• Understand and update clients on regulatory changes and impacts
• Provide strategic compliance advice and anticipate client needs
• Build and develop client relationships

Skills

Excellent customer service ethos

Excellent verbal and written comms

Ability to multi-task

Right to work in the UK

Understanding UK regulatory landscape

Education

Degree educated or similar

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
• Excellent customer service ethos
• Degree educated or similar
• Excellent verbal and written communication skills
• Ability to multi-task
• Must hold the right to work in the UK