Senior 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.
Complyport is seeking for a new Senior Compliance Consultant to join our Client Services teams. 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 assisting firms seeking FCA authorisation. Working both in the office and on-site, you 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.
- The successful candidate will preferably have a minimum of 5 years relevant (compliance consulting) experience within the financial services sector
- Must be able to demonstrate managerial as well as consulting skills
- Legal, accounting or finance related degree or equivalent is preferable
- 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-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 focused
- Good working knowledge of the FCA, its objectives and the FCA Handbook
- 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 email@example.com clearly stating “Senior Compliance Consultant – Application” in the title.
**Please note, this advert is for direct applicants, no agencies please.**