Job Title: REGULATORY COMPLIANCE CONSULTANT-ASSET MANAGEMENT


Reference:AJB JB FS CON 08


Date: 18 Mar, 2019

Location: City of London


Assignment Profile:

Our client is a highly regarded regulatory consultancy that has deep expertise in all aspects of governance, risk and compliance. The team is supported and complemented by specialist financial services lawyers and we often field multi-disciplinary teams of lawyers and consultants on projects for their clients. The focus of the work spans governance and risk management, not just regulatory compliance. Our client is specifically seeking to recruit a regulatory consultant to support the work with asset managers. You will be a hardworking, motivated and creative individual and assist the team in working on a variety of different projects. FCA authorisations and approvals of new business Ongoing regulatory advice to investment managers Assurance reviews Governance, risk and compliance reviews Risk framework design and review Regulatory change programmes and projects Skilled person reviews Root cause analysis, past business reviews, redress and remediation Board training Key responsibilities Autonomously deliver reports, manage projects or deliver pieces of technical advice under the supervision of more senior team members Developing sustainable client relationships Developing strong internal working relationships Managing workloads

Candidate Profile:

Personal attributes Preferably a minimum of 3/4 yeas regulatory consultancy experience Excellent Academics Solid ‘A’ Levels Good degree from highly regarded university (2:1) preferred Excellent written and verbal communication skills Very hard working and keen to progress Team player Fast learner (particularly if you have limited regulatory knowledge) Essential Requirements – Technical skills The following technical areas are essential: Understanding how an investment manager operates, the operation of regulated and unregulated funds. An appreciation of the key regulatory rules applicable to asset managers Knowledge of asset management and private wealth products and services, including managed accounts, and authorised and/or unauthorised funds Preferred Requirements – Technical skills Good compliance background having worked in a regulatory consultancy, Big 5 or smaller boutique also welcome A background of asset management control reviews, potential as part of an internal audit, AAF, SSAE, ISAE or other control based reviews of asset managers Understanding of broad range of regulatory issues Knowledge of FCA Handbook and related legislation Ability to interpret and apply new and existing regulation and provide operational advice and support to our clients in implantation of these solutions; Experience in the Asset Management and/or Private Wealth sector with knowledge of asset management and private wealth products and services, including managed accounts, and authorised and/or unauthorised funds

Consultant: Jonathan Banjo


Consultant Email: recruit1@ajbexecutivesearch.co.uk


Salary:Circa £70-85,000 Plus Benefits


If you feel you are a suitable candidate for this position please contact Jonathan Banjo

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