An exciting opportunity has arisen to join a leading Compliance and Regulatory consultancy providing bespoke, practical solutions for all manner of regulated firms both in the UK and overseas.
The role involves playing an active part of their Client Services Team, which includes liaising with clients directly, providing advice and guidance relating to Compliance manuals and policies. Further responsibilities will include;
* Working with firms seeking authorisation from the FCA to assist with drafting the business plan, financial projections and a set of compliance documents such as Compliance Monitoring programmes, policies, registers etc. * You will be advising on regulatory concerns the client may have and assist with problem solving * For authorised firms, visits are undertaken to clients on a periodic basis to review the compliance monitoring undertaken and policies, registers etc
The successful candidate for this role will need to have experience within either a regulated environment, Legal or other professional services business in the Financial Services sector. Ideally you will have experience within an Asset management firm or Investment Management firm.
Please quote 44977 when calling Alexander Lloyd on 01293 572900 and ask for our Pensions and Benefits division. This is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include IFA, Advisors, Employee Benefits, Compliance, Pensions, Group Risk, Paraplanners, Sales Support, T&C etc.
Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website www.alexanderlloyd.co.uk for any other roles which may be of interest.