Senior Compliance Consultant

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My client a leading Accountancy Firm with a Wealth Planning Division, is actively looking for a Senior Compliance Consultant to join the business, the UK’s 10th largest independent accountancy network with over 650 partners.  This role is business critical and the successful applicant will work closely with the Compliance Team to and currently be working within or previously worked within a Consutlant role withinn Financial Services, preferably Asset Management or Investment Management. 

The main responsibilities of the role will include 

• Keep up to date with changes with FCA rules and guidance in terms of key changes and ensure this is communicated effectively to all relevant parties, by way of briefings, emails and fact sheets
• Review and approve financial promotions prepared by the firm
• Ensure compliance manuals are kept up to date, monitor programmes for necessary changes and report on any findings
• Attend clients premises to perform ongoing monitoring and reporting
• Produce written reports on remedial actions resulting from the monitoring programme and contribute to follow-up meetings with operational line managers 
• Assist with the preparation of FCA application packs, variation of permission notices and update of firms ICAAPs
• Assist with work required under FCA Risk Mitigation Programmes, AAF 01/06 and s166 reviews
• Prepare and present internal and external courses to keep up to date with regulatory issues, including money laundering 
• Ensure to promote and develop the department when possible
• Assist other members of the team with ad hoc questions on the FCA Handbook when required

To be considerd for this role, you must be able to demonstrate the following:-

• Demonstrable experience within a compliance environment, ideally in an investment management environment, and with a background in financial services  
• Studying, or completed, a professional qualification in compliance such as the FPC
• Good working knowledge of the FCA Handbook
• Understanding of COBS and knowledge of BIPRU and or IPRU(INV) would be advantageous
• Educated at least to A Level standard – Maths and English 
• Willing to travel to clients (within London)
• Excellent written and verbal communication skills 
• Excellent analytical skills 
• Able to produce formal reports and fact sheets whilst interpreting FCA rules into simple English
• Able to use initiative, work unsupervised and comfortable taking responsibility  
• Proven planning and prioritising skills

In return for your exposure and extensive knowledge within an FCA role within Financial services, the client offers an excellent salary and benefits package 

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