Regulatory Consulting Executive


Regulatory Consulting Executive

Job Title: Regulatory Consulting Executive
Contract Type: Permanent
Location: London
Salary: 50, 000
Reference: RCE0304
Contact Email:
Job Published: April 03, 2017 09:39

Job Description

Our client is looking for a junior regulatory consultant to assist the Directos and Partners with meeting the annual plans, by servicing their regulatory clients through providing monitoring services and undertaking regulatory projects, currently mainly within MiFID II space. On some projects you will be required to take the lead role. 

Key Responsibilities

  • Assiting the line manager in meating business plans and business development
  • Undertaking work in areas such as FCA application packs, variations of permisons notices, suitability reviews, etc.
  • Leading aspects, supervise and be responsible for compelting assigned project work
  • Presenting complaince findings to the clients and produce written reports on remedial actions to contribute to the follow up meetings with operational line managers
  • Maitaining current knowledge in relation to changes with FCA rules
  • Responsible for preparation of presentation of training courses and briefings

Key Requirements

  • At least 2 experience within compliance environment
  • Good working knowledge of FCA rulebook
  • Good understanding of AIFMD, CDR, UCITS, COnduct Risk, MiFID and FATCA
  • Able to build a rapport with clientss and staff
  • Strong analytical skillset
  • Initiative 
  • Exceptional written and verbal communication skills

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