Senior Consultant, Regulatory Hosting

Our client is a growing and dynamic boutique compliance consulting firm.

They are looking to hire a senior compliance professional, with regulatory hosting experience.

Their core client base is comprised of asset managers so experience from the Buy side will be useful.

THE RESPONSIBILITIES:

• Primary compliance resource for a number of Appointed Representatives on the platform
• Leading monitoring reviews of Appointed Representatives, both on-site and remotely
• Implementation of policies as applicable and oversight of Appointed Representatives in accordance with the compliance programme
• Provision of compliance training, both on-site and remotely
• Providing compliance advice
• Review and approval of financial promotion materials
• Updating Appointed Representatives on regulatory change and how it impacts their business
• Providing support to RQA’s senior management where required
• Building and developing client relationships
• Involvement in sales and business development activity

EXPERIENCE REQUIRED:

• 7 -10 years experience gained within a compliance or management consultancy, regulatory hosting firm, asset manager (including hedge funds, private equity, real estate and other alternatives), or a regulator such as the FCA.
• Thorough knowledge of the FCA Handbook
• Experience of compliance monitoring or similar
• Excellent customer service ethos
• Ability to implement regulatory solutions to address compliance needs
• Strong client facing ability

For further information please contact Duncan Jeffery

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