A well established and rapdily growing Compliance Consultancy is seeking home based experienced Compliance Consultants to join their team. You must be within an easy commute to London in order to visit clients on a regular basis, have experience working in a client facing consultancy environment and have experience working with investment and/or stockbroking clients.
You will play a leading role in the provision of day to day consultancy services to clients of the Investment business team, providing support and guidance in the compliance management for retained clients, by planning, organising and overseeing operational compliance activities; maintaining business controls, mitigating risks and supporting clients in order for them to adhere to current regulatory practices
* Visit clients on a periodic basis to carry out reviews of compliance monitoring, records, policies and procedures, followed by recommendations and a formal report to the Board * Provide telephone and email support to clients to address compliance issues or problems as they arise * Assess and oversee client's performance against their Compliance Monitoring Program ensuring activities adhere to all applicable laws and regulations
There is excellent progression opportunities on offer for the right person and monthly team meetings and social events too.
Please quote (43965) when calling Alexander Lloyd. This is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include Compliance Directors, CF10/11, Risk Frameworks, Monitoring, Advisory, Policy, T&C, Quality Assurance/ File Review, AML/KYC etc across the entire financial services sector including investments, banking and insurance. We predominately focus on London, Surrey, Sussex and Kent, although we have also been highly successfully in offering national solutions. 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.