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 specialize 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 authorized 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 supplier.
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.
Complyport is seeking for two (2) Senior Compliance Consultants to join our Client Services teams. The successful candidates 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 assisting firms seeking FCA authorisation. Working both in the office and on-site, will provide compliance monitoring services, revise policies, registers etc, and discuss how business updates may affect your clients from a regulatory perspective.
- The role is a management role, and it involves playing an active part in Complyport’s client services team which includes 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 Compliance Monitoring Programmes, policies, registers)
- For FCA 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 followed by a formal report for the client’s senior management
- The role will require the individual 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 successful candidate may be asked to draft and present compliance training to clients, including board briefings.
- 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.
Qualifications / Experience:
Candidate will have 2-3 years’ experience 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.
Skills and Knowledge:
- Excellent working knowledge of the FCA, its objectives and the FCA Handbook
- Must be able to demonstrate managerial as well as consulting skills
- Legal, accounting or finance related degree or equivalent is preferable
- Excellent organizational 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, prioritizing 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
- Client focus
- Good understanding of current UK regulation
- Good understanding of financial services
- 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
To apply, please send your CV and covering email, stating why you would like the opportunity to train with our firm, to firstname.lastname@example.org clearly stating “Senior Compliance Consultant – Application” in the title.
**Please note, this advert is for direct applicants, no agencies please.**