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Compliance Advisory Consultant



Permanent ⁄ £45000 - £70000

Updated March 8, 2013

Compliance Advisory Consultant:
Client deliverables
• Set up (for new clients) and maintenance of compliance infrastructure
• Where applicable, performing compliance monitoring in accordance with a plan agreed with the client each year
• Production of client reports
• Providing information on regulatory developments to clients, both by means of quarterly visits, or where more urgent, by contacting clients individually (in conjunction with Group bulletins and newsletters)
• Ad-hoc advice to clients as requested
• Delivery of training as necessary
• Participation in pitching process as and when required

Client management
• Ensuring that work is performed in accordance with the signed contract
• Ensuring that work is performed in accordance with the Ongoing Consulting Procedures (including Client Service Standards)
• Maintaining full client details and, as appropriate, correspondence and client documentation on Pengower
• Until such time as Pengower replaces - entering data into the client spreadsheet in a timely manner (normally at the end of each month)
• Entering time spent accurately into OpenAir, both client and non-client time to a minimum of 7.5 hours per day
• Monitoring client profitability and suggesting fee increases to management as appropriate
• Identifying additional fee opportunities
• Reviewing and approving client time and invoices on a monthly basis
• Maintaining a good awareness of the client's business and raising any concerns with management immediately

Contributing to the organisation
• Leading sectors as required
• Assist and encourage colleagues
• Writing articles for client newsletters
• Participating in internal committees as requested
• Attending external legal briefings as requested
• Reviewing and digesting regulatory developments and where applicable disseminating this information within the consulting team
• Participating in Group external events as required
• Updating infrastructure and tools as requested

Personal development
• Ensure that, with suitable assistance from the Group, the required level of competence is attained and maintained
• Identify, with management, any appropriate areas that you require, or desire to have additional training and agree and action plan
• Provide and receive

Who we're looking for
Confident,outgoing self starter with thorough compliance knowledge and understanding with drive and business acumen.

About our client
Our client is a professional financial services group for the asset management and securities industry. Their core service offering is regulatory compliance consulting to UK regulated financial services firms. Alongside this, our client provides related services including hosted regulatory permissions, due diligence, compliance training, risk management and recruitment.

Our client supports more than 600 investment businesses, ranging from established global firms to start-ups. Our clients include many of the world's largest hedge fund managers, private equity firms, fund of funds managers, family offices, institutional pension fund managers, investment banks, adviser arrangers and broker dealers.

The firm is building on its leading position in the asset management sector, growing internationally, and developing a wider scope of coverage to include boutique brokerage, and retail fund structures for professional investors.

The Regulatory Compliance Consulting business is dedicated to providing compliance advisory services to our diverse client base and as part of our exciting growth and expansion plans we are looking to add to our team.

What's on offer
Competitive Package, with great career opportunities, a chance to take charge of your own client portfolio and build your business!

For further info, apply or phone on 0207 645 1419.  Job Ref: 13217086
Your application will be sent to Sumrana Saleem.

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