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Compliance Consultant

Posted 6 February by Laven Partners Ltd Easy Apply Ended

Compliance Consultant, £30,000 per annum, London City

We are looking for a Compliance Consultant to join our busy London based compliance appointed representative and asset management hosting team. You will receive a salary of £30,000 per annum plus benefits including Pension and Private healthcare.

Laven Partners Ltd is a global regulatory firm offering a broad range of consulting services for the financial industry including unique regulatory technology as part of its RegTech developments. The group has operations in London, New York, and the Caribbean

As a Compliance Consultant you will work within our ambitious and fast-paced team. Our clients are asset managers, brokers and other financial services institutions based throughout Europe and the US. We are focused on compliance solutions delivered via our proprietary regulatory technology, so the applicant will need to have an active interest in software and an aptitude to linking regulatory advice with technological solutions.

Responsibilities of our Compliance Consultant will include;

- KYC checks on prospective appointed representative entities

- Due diligence checks on such prospective entities and approved persons

- Drafting FCA Connect communications

- Reviewing financial promotional material

- Responding to client queries

- Undertaking regulatory research

- Drafting new compliance policies in response to our changing regulatory environment

- Attending client meetings and reviewing ongoing activities

- Ongoing monitoring of all compliance registers and records

- Delivering training materials

- Preparation of governance materials

To become our Compliance Consultant you will have the following skills, experience and attributes:

- Excellent written and verbal communication skills

- Very strong organisational skills

- An inquisitive nature with a high level of attention to detail

- Very good time management and organisational skills

- The capability to hard-work and be proactive

- The ability to work under pressure, multitask and have good interpersonal skills

- An entrepreneurial attitude

- The desire to work in a small team

- The skills to be flexible and remain calm, as the candidate will have to deal with different clients and third parties in an international environment

- The determination and commitment to handle all aspects of a task, including administrative or clerical elements

- Relevant compliance experience gained within financial services (not a prerequisite but would be an advantage)

- Knowledge of some FCA and EEA regulations (not a prerequisite but would be an advantage)

- 2.1 or above in a relevant degree

- Experience in applying a pragmatic and common-sense approach to solving problems

- IT proficient

This role will have growth and scope to develop within our team, both through client contact and through involvement within our Reg-Tech software.  We are looking for a candidate that will attend clients both through onsite visits as well as managing ongoing communications with our client base.  Our RegTech solution is ever evolving, and we are looking for a forward-thinking candidate to collaborate as part of our team.

If you feel you have the skills and experience to become our Compliance Consultant then please click ‘Apply’ today!

Reference: 34411206

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