Compliance Consultant

ACA Compliance Group Holdings, LLC ,
London, Greater London
More Details

Overview

Job Description

ACA is a regulatory consultancy for the wholesale finance sector working with a broad range of clients that include hedge funds, fund of funds, long-only managers, private equity, venture capital, institutional brokerage, capital introduction and investment advisers. Reporting to the Director of Regulatory Consulting, you will undertake an extremely varied and rewarding role becoming central to our client advisory team and managing a portfolio of clients. You are likely to have experience of working at the FCA, for a compliance consultancy or as an in-house Compliance Officer. Whilst this is not a business development position, the standard of your work and your attention to client service levels will reflect our offering and high standards will be required to support the further development of our business You will be responsible for your own portfolio of clients and assisting / advising them in all FCA regulatory matters pertaining to their business. Specifically, this could include, but is not limited to; + Undertaking compliance reviews, assessments and presenting recommendations to Compliance Officers, compliance staff and senior management; + Providing commercially sound regulatory solutions and advice to the senior management of a wide range of entrepreneurial regulated clients; + Managing or participating in regulatory projects, such as annual compliance audits or mock examinations; + Conducting research, writing articles, and/or making internal or client presentations on compliance specific issues. + Assisting with the project management of FCA authorisation applications; + Keeping up to date with current regulatory developments and informing clients as necessary. + Subject to client demand there is also the opportunity to work with US colleagues on US regulatory matters / projects (SEC/ CFTC). Skills and Profile + Entrepreneurial attitude, with a desire to help build a business and help clients do the same; + Highly motivated, dedicated to upholding ACA's high-quality standards and customer service focus. + Able to think commercially about sometimes complex regulatory issues and able to work exacting client demands / deadlines. + Capable of working on-site at client offices using their own initiative - alone or as part of a team. + Clear, diplomatic and comprehensive communicator; + Strong analytical skills; organised and detail oriented with the ability to multi-task and prioritise effectively. + Professional and calm under pressure - you will have to work in different environments often with the senior management of regulated firms. + The successful candidate is likely to be professionally educated and/or a compliance practitioner with relevant experience of wholesale financial services from working at the FCA, in a compliance consultancy or in an in-house compliance position; + Strong academic background (i.e. degree level or recognized professional qualification), in addition to the CFA Investment Management Certificate - Units 1 and 2 (or equivalent as determined by ACA); + Sound working knowledge of the Financial Services and Markets Act 2000, the Markets in Financial Instruments Directives, the Alternative Investment Fund Managers Directive, and related FCA rules and guidance; + 3 years plus relevant experience. ACA is an equal opportunity employer and does not unlawfully discriminate against current or prospective employees on the basis of race, color, religion, sex, age, national origin or any other characteristic prohibited by law. Job ID: 2019-1221 Street: Panton House 25 Haymarket

People also viewed