Careers

Compliance Consultant

Complyport: Who we are

Complyport is a leading City-based Governance, Risk and Compliance consultancy that provides compliance advice, undertakes regulatory and compliance projects and offers a suite of digital solutions to a wide variety of regulated financial services businesses. Our services include FCA authorisations, ongoing advice and support, the authoring of manuals, policies, procedures and technical documents and undertaking project work.

Our well-respected and market leading reputation, which has been built over the last 20 years, is based on providing bespoke and pragmatic solutions to clients, which balance the competing needs of commerciality against being compliant with all applicable requirements.

Our client base includes asset and wealth managers, hedge funds, fund managers, brokers, venture capital firms, private equity, banks and insurers of varying size.

The Position

Complyport is seeking for a new Compliance Consultant to join our Client Services team. You will play an active role in liaising directly with clients on Regulatory issues, providing advice and drafting materials such as Compliance Manuals and policies. The role also involves working with firms seeking authorisation to draft FCA applications. Working both in the office and on-site, you will provide compliance monitoring, revising policies, registers etc, and discuss how business updates may affect your clients from a Regulatory perspective.

  • The role involves playing an active part in Complyport’s Client Sevices Team which will include liaising directly with clients, providing advice and drafting materials such as Compliance Manuals and policies. You will also be required to provide support to other members of the team.
  • The role includes working with firms seeking authorisation to draft the FCA application and assist with drafting the business plan, financial projections and a comprehensive set of compliance documents (including Compliance Monitoring Programmes, policies, registers).
  • For authorised firms, visits are undertaken to clients on a periodic basis to review the compliance monitoring undertaken and policies, registers etc, discuss business updates and how regulatory changes may impact the firm. There may also be discussions regarding any regulatory concerns the client may have and assist with problem solving. Visits are normally followed by a formal report for the senior management of the client.
  • The role will require the individual to be able to present opinions and findings in a clear and concise manner at both staff and senior management level. Presentations may be made orally or in writing. Complyport offers face to face training on a range of topics (as well as online training modules) so the candidate may be asked to draft and present compliance training to clients, including Board training.
  • While there are no specific sales targets involved in the role, the individual will be expected to be an active participant in marketing and business development of the firm in order to contribute to the continued success and development of Complyport and its service offerings.

Requirements

  • Candidate will preferably have 2-3 years experience (minimum 1 year’s) relevant experience in either a regulated environment, legal or other professional services firm in the financial services sector. Must be able to demonstrate consulting skills.
  • Legal or finance related degree or equivalent is preferable
  • A CISI or equivalent qualification is desirable but not required
  • Excellent organisational and time management skills
  • Excellent communication and interpersonal skills
  • Self-confident with the ability to work as part of a close-knit collegiate team
  • Ability to work well under pressure, prioritising work as necessary while managing expectations both internally and externally
  • Energetic, self-starting personality with an appetite for learning and self-development
  • Ability to work both independently and as part of a team
  • Desire to take on responsibility and to devise and implement solutions
  • Conscientious, diligent and attentive to detail
  • Client focused
  • Good working knowledge of the FCA, its objectives and the FCA Handbook
  • Good understanding of current UK regulation
  • Good understanding of our client base

Benefits/Remuneration

  • Competitive remuneration package, including discretionary performance-related bonus
  • In-house and external training courses
  • Excellent opportunities for career development and advancement.

Applications

To apply, please send your CV and covering email, stating why you would like the opportunity to train with our firm, to careers@complyport.co.uk clearly stating “Compliance Consultant – Application” in the title.

**Please note, this advert is for direct applicants, no agencies please**.