Senior Compliance Consultant – Investment Management

We are recruiting for a specialist Compliance Consultancy firm looking to hire a Senior Consultant in their Investment Management Team.

This is an excellent opportunity for an experienced compliance professional with a strong background in investment management to join a highly regarded specialist consultancy.

Working as part of the Investment Firms team, you will advise a diverse portfolio of private equity and venture capital clients on complex FCA regulatory matters, delivering high-quality, commercially focused support that adds real value.

The role would suit someone coming from a similar consultancy environment, or an individual with deep buy-side knowledge who is keen to apply that expertise in a client-facing, advisory capacity.

Job Requirements:

• Provide support and guidance to clients in relation to FCA regulatory obligations.
• Undertake or oversee periodic compliance monitoring reviews and, as a result, provide clients with formal reports.
• Support clients with the completion of FCA periodic returns
• Oversee and carry out work relative to firms that wish to apply for FCA authorisation, for Variations of Permission, to effect a Change in Control or a Change of Legal Status
• Personally deliver or organise and oversee the creation of compliance documentation relevant to each clients’ business
• Manage and develop designated client relationships, deliver on work as detailed in the contractual scope of engagement to a high-level of client satisfaction.
• Ability to write policy and procedure and sales proposals and to research, write and
• present effective training material.
• Knowledge of FCA Capital Market firm types and their accompanying directives (including AIFMD and MiFID firms).
• Relevant commercial experience involving financial services and technical compliance experience specific to Investment firms.
• Experienced in managing a portfolio of PE/VC clients of various firm size and maturity
• Knowledge of Capital Market appropriate prudential regimes, including the Investment Firm Prudential Regime.
• Skilled in Compliance Monitoring, auditing, gap analysis and providing professional reports.

Unless otherwise stated, candidates must have the right to work in the UK.

The CLARC Guarantee – we 100% guarantee that your CV will never be sent to a client without your prior expressed permission so all of your details are totally secure with us. Please note due to the volume of applications we sadly cannot reply to every application we receive and only successful applications will be contacted, however your details will be registered for consideration for more suitable opportunities as we get them.

Apply for this role through this job post or email an application to vacancies@clarcrecruitment.com

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