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Regulatory Consultant

Posted 6 March by IDEX Consulting Ltd Easy Apply Ended

The main areas of work undertaken by the regulatory consulting team are to provide consultancy services to those firms regulated by the FCA and the PRA.

The team provide assistance to regulated entities on compliance and other regulatory issues.

Reporting to a Manager/Senior Manager the role holder will assist the Director and Partners with meeting the annual business plan as set out and agreed.

Specifically, the role holder will assist the regulatory consultancy team with projects and delivering client service to a range of clients and assisting with ad-hoc questions as they arise. This will be a generalist role offering the role holder the opportunity to grown their knowledge in a number of areas.

  • Experience within a compliance environment, ideally in an investment management environment and with a background in financial services
  • Studying, or completed, a professional qualification in compliance such as the CISI Diploma, Diploma in Financial Planning, or equivalent
  • Understanding of at least one of the following areas of the FCA Handbook: COBS, BIPRU, IPRU(INV), CASS, CONC and SUP
  • Experience of at least one of the wider pieces of UK/European Regulation: AIFMD, MIFID, Recovery and Resolution Directive, JMLSG notes, Money Laundering Regulations 2007, Data Projection Act, Senior Managers Regime and the Payment Services Directive
  • Educated A Level standard or equivalent - Maths and English
  • Willing to travel to clients (within London)

Please visit the IDEX Consulting Ltd website for further opportunities. If your application is successful we will contact you to discuss the opportunity in more detail within 2 working days of receiving your application. If your application is unsuccessful, the information supplied may still be retained for use in connection with future vacancies. Due to the overwhelming application response we receive through various sources, should you not hear from us within one week then please assume your application has been unsuccessful.

Required skills

  • Compliance
  • Compliance Monitoring
  • Quality Assurance
  • Compliance Officer
  • Compliance Manager

Reference: 34614927

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