Senior Compliance Consultant – 2 Roles Available

Complyport Who we are: 
Complyport is a consulting firm supporting the UK financial services industry for over 20 years. Established in 2001, Complyport is now one of the UK’s largest independent compliance consulting businesses, combining former regulators, industry practitioners and legally qualified individuals to offer our clients an exceptionally diverse and professional team.

We specialise in providing Governance, Risk and Compliance services to support the regulated financial services industry to raise standards and thrive.

Complyport advises and assists firms to become authorised and to comply with the rules and requirements of regulators on an ongoing basis. Our vision is to be there for our clients every step of the way, helping them change, grow and excel through expertise, insight and innovation, and in so doing to become our clients most valued partner in compliance.

We serve clients across all areas: investment management, securities brokerage, banking, venture capital, private equity, corporate finance, social finance and capital introduction, as well as banking, insurance, wealth and consumer credit.

We have successfully assisted over 1,000 firms to become authorised with the FCA and are providing regulatory support to over 600 regulated firms on an ongoing basis globally.

Complyport is a member of the Association of Professional Compliance Consultants (APCC), a national association of professional consultants, supported by the FCA.

The Role:

Complyport is seeking two (2) Senior Compliance Consultants to join our client services team.

  • The role is a management role and involves playing an active part in Complyport’s client services team by liaising directly with clients, managing teams of consultants, providing advice and drafting materials.
  • The role includes working with firms seeking authorisation with the FCA and assisting them with drafting the business plan, financial projections and tailoring a comprehensive set of compliance documents (including the CDD, KYC/CTF policies, Compliance Monitoring Programmes, etc.)
  • For FCA authorised firms, the role involves visits to clients on a periodic basis to review the compliance monitoring undertaken, discussing business and regulatory updates. Visits are followed by a formal report for the client’s senior management.
  • The role requires the candidate to be able to present opinions and findings in a clear and concise manner to both Complyport staff and our client’s stakeholders at different levels of seniority. Presentations may need to be made orally or in writing.  The candidate may be asked to draft and present compliance training to clients, including board briefings.
  • The role includes participating in the marketing and business development of the firm in order to contribute to the continued success and development of Complyport and its service offerings.

Candidate’s Specifications:

Qualifications / Experience:

The candidate should have 5-6 years’ relevant experience in either a regulated environment, legal or other professional services firm in the financial services sector. The candidate must be able to demonstrate consulting skills.

Skills and Knowledge:

  • Excellent working knowledge of the FCA, its objectives and the FCA Handbook
  • Good understanding of current UK regulation including excellent working knowledge of the JMLSG guidelines and how they are implemented in the financial services sector and beyond
  • Managerial and consulting skills
  • Legal, accounting or finance-related degree or equivalent is preferable
  • Excellent organizational and time management skills
  • Excellent communication and interpersonal skills
  • Self-confidence with the ability to work as part of a collegiate team
  • Ability to work well under pressure, prioritising work as necessary while managing expectations both internally and externally
  • Energetic, self-starter 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 solutions driven
  • Conscientious, diligent and attentive to detail

Benefits/Remuneration

  • Competitive remuneration package, including discretionary performance related as well as Company bonus
  • In-house and external training courses and qualifications
  • Excellent opportunities for career development and advancement, including a partnership pathway

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 “Senior Compliance Consultant – Application” in the title.

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

Facebook
Twitter
LinkedIn
COntact us for assistance

Please fill our free consultation form and a member of our team will get in contact with you.

Your compliance questions answered. Just ask ViCA - Your virtual compliance assistant

X