Our client is a leading regulatory consultancy for 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.
You will undertake an extremely varied and rewarding role, working directly with our clients by supporting senior colleagues. You will ideally have 1-2 years of compliance or related experience and / or have a strong educational background. A genuine interest and intellectual curiosity in compliance and regulation will help you succeed in this role and progress further.
Responsibilities:
You will be responsible for supporting Consultants in advising clients on various regulatory matters, projects and so on. Specifically, this could include but is not limited to;
- Supporting consultants in undertaking compliance reviews, training, assessments and drafting preliminary reports, matrices, policies and procedures and other client deliverables.
- Supporting consultants in managing or participating in regulatory projects, such as annual compliance audits or mock examinations.
- Conducting research and assisting in drafting internal or client facing articles and presentations on compliance specific issues.
- Keeping up to date with current regulatory developments and participating in professional development activities.
- Subject to client demand there is also the opportunity to work with US colleagues on US regulatory matters / projects (SEC/ CFTC).
Skills and Requirements:
- The successful candidate is likely to be professionally educated and/or hold some relevant experience of wholesale financial services compliance
- Knowledge of the UK regulatory regime, such as Financial Services and Markets Act 2000, the Markets in Financial Instruments Directives, the Alternative Investment Fund Managers Directive, and related FCA rules and guidance;
Eames Consulting is acting as an Employment Agency in relation to this vacancy.
