Recruitment


Senior Compliance Consultant - January 2016

Job Title: Senior Compliance Consultant

Location: London, Victoria

Reporting to: Managing Directors

Role summary:

Based in the London office, the Sr. Compliance Consultant will lead client interaction with compliance service clients. The consultant will conduct periodical compliance reviews, manage a compliance monitoring program and ensure regulatory oversight of the assigned clients on a day to day basis.

General Responsibilities:

1. Manage the ongoing compliance monitoring of investment managers and portfolio managers

2. Conduct monthly calls with clients of the firm to discuss compliance requirements for monitoring and documentation

3. Lead a compliance team on a variety of special compliance projects and thematic reviews.

4. Analyze compliance requests and articulate solutions or present compliance questions to the compliance committee for discussion

5. To complete various client facing tasks, office visits and file reviews

6. Oversee and review various applications for authorization with the Financial Conduct Authority (FCA)

7. Conduct reviews of financial promotions

Qualifications and Experience:

Education: Must have a Bachelors degree completed (Law or Business preferred)

Experience and Generic Skills:

1. Experience of working in an FCA compliance environment with a good understanding of the financial services industry

2. Highly effective client skills (verbal written and interpersonal communication skills)

3. Strong organizational and project management skills

4. Experience of working to tight deadlines and the ability to cope with multiple tasks

5. Strong listening and presentation skills necessary to understand, communicate with, and persuade a wide range of audiences

6. Proficient user of Microsoft Office

7. Desire to work in a dynamic work environment

8. To be a self-starter and team player with the ability to work on own initiative or as part of a team

On offer

This is an exciting opportunity to join a fast growing organisation with a diverse high caliber client base and interesting compliance projects. The successful candidate will be offered a competitive salary, benefits package and a bonus depending on experience.

To download this job description as a PDF Click Here. To apply email us at careers@lawsonconner.com

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