Senior Compliance Consultant - Investments

Full Job Description

InterQuest are currently supporting a leading specialist consultancy in finding a talented compliance consultant to support the growth of their Investments division. As a regulatory expert in the space, this would be a great opportunity for leverage your consultancy expertise and take the next step in your career in what is a culture-orientated business focussed on providing the best support to their clients.

Responsibilities include:

• Managing client relationships, providing guidance and support on their FCA regulatory obligations
• Providing training on regulatory change and assisting with the change and development of their policies and procedures.
• Being the main point of contact for technical queries relating to the regulatory environment, including reviewing marketing materials.
• Assisting firms through FCA application processes and Change in Control.
• Conducting compliance monitoring reviews, providing comprehensive feedback to the business.

The right candidate will have:

• Strong consultancy expertise and experience growing a function - Commercial/business development skills.
• Expert FCA regulatory knowledge applicable to Investments firms, including MiFID and AIFMD.
• Detailed knowledge of SMCR, Conduct of Business, AML and Market Abuse requirements.
• Confidence in stakeholder management and relationship development.

Get in touch now to progress your career : Send me your CV directly on or call on 0161 237 0013.