Compliance Consultant

Posted 6 April by Alexander Lloyd Easy Apply

Compliance Consultant

My client, a consultancy company based in the city, are actively looking for a Compliance Consultant to join them working with their AR's. The Clients you would be working with are mainly Investment Management, Asset Managers and Brokers.

They have their own unique software which they provide to their Clients, as a result are looking for someone with a keen eye for detail and an interest in how RegTech will be changing over the industry over the coming years.

Typical Duties for the Role:

  • Perform KYC and CDD checks on prospective Clients
  • Review Financial Promotions
  • Undertake research surrounding regulatory change and analyse how this could affect clients
  • Draft new compliance policies following research for changing regulations
  • Monitoring of compliance registers


  • A keen desire to work in a small team
  • Knowledge of some FCA regulations
  • High level of attention to detail and excellent written and verbal skills
  • Excellent time management skills

Please quote (42723) when calling Alexander Lloyd. This is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include Compliance Directors, CF10/11, Risk Frameworks, Monitoring, Advisory, Policy, T&C, Quality Assurance/ File Review, AML/KYC etc across the entire financial services sector including investments, banking and insurance. We predominately focus on London, Surrey, Sussex and Kent, although we have also been highly successfully in offering national solutions. Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website for any other roles which may be of interest.

Required skills

  • Consultancy
  • AR
  • Appointed Representive

Reference: 34849050

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