Senior Consultant, Funds, Capital Markets

Job Description

Field based and operating within an FCA compliant environment. To play a leading role in the provision of day to day consultancy services to clients of the Investment business team and a mentoring role to other consultancy team members. To provide supportand 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 regulatorypracticesSpecifically, to:

• 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 clients performance against their Compliance Monitoring Program ensuring activities adhere to all applicable laws and regulations

Accountabilities

• Organise the creation of compliance documentation including manuals and suitable frameworks to suit each clients business as it develops
• 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
• Telephone and email support to clients to address compliance issues or problems, as they arise
• Provide support on FCA notifications and reporting including the online notifications and applications system and the full suite of returns for BIPRU, IFPRU and Exempt CAD Investment Firms
• Facilitate the provision of regulatory updates to clients on topics such as Market Abuse, Senior Management Systems and Controls, Conduct of Business and Approved Person Responsibilities
• Assess and oversee clients performance against their Compliance Monitoring Program ensuring activities adhere to all applicable laws and regulations.
• Review all compliance documentation and develop/maintain policies and procedures in line with regulations
• Carry out periodic analysis of risks by ensuring risk assessments are undertaken for business units and products
• Develop and maintain a professional network
• To keep up to date, develop and maintain professional skills and knowledge

Key Working RelationshipsExternal clients, line management, team members and the colleagues in Central CSL supportLeadership, Management and Development

• To support the growth and development of the Capital Markets team ensuring the strategic objectives and vision of the team are met by working closely with colleagues and clients identifying opportunities and enhancing personal skills sets
• Setting high standards of personal management in areas such as time management, expectations management, organisation and communication
• To demonstrate CSLs values both in terms of you own personal conduct, actions and deeds and expectations of others

Internal systems

• To ensure all internal systems are up to date including CMP+ and record keeping and quality standards maintained
• To support and recommend any improvements to the internal systems used by Capital Markets

Person SpecificationQualifications, Skills and Experience

• 5- 7 years experience in a role gained working in an investment management, private wealth management or, broker/dealer environment, professional services
• Strong COBS, SYSC and PRU regulatory knowledge is essential
• Understanding of the regulatory regime and the operation of the FCA and PRA
• Experienced* in managing a portfolio of PE/VC clients of various firm size and maturity
• Delivering of CMP support either in a BAU or consultancy capacity to this sector
• Able to hit the ground running to take on established clients as part of a team.
• Strong interpersonal skills
• Strong in both verbal and written communication
• Ability to manage own time effectively and organise competing priorities
• Willingness to learn and develop
• Awareness of the commercial role of Risk Management
• Strong PC skills in office applications
• Highly structured working approach systems

Desirable

• Relevant professional qualification or professional experience advantageous
• Previous face to face client relationship management experience

Technical and Behavioural CompetenciesTechnical

• IT capability including Microsoft applications
• Knowledge of FCA & EU regulatory frameworks, institutions and internal operating structures
• ICAAP
• FCA application process including usage of Connect
• Firm Risk Frameworks
• GABRIEL reporting system
• Compliance auditing and reporting including Gap Analysis
• Ability to interpret client business models and apply rules to them

Behavioural

• Communicating clearly
• Customer Service and Relationship Management
• Client focused
• Fact finding/inquisitive
• Accuracy and attention to detail
• Ability to work independently
• Flexibility & Accountability
• Business awareness
• Personal impact

Capabilities and BehavioursCompliancy Services Ltd has a framework of behavioural and technical competencies which are applied across all roles. These are designed to enable employees to understand what is required on the job and as a means to identify where further personal developmentcan enable career progression within the organisation.The job description maybe subject to amendments as the role evolves and changes are required to be in line with business needs. The Company therefore reserves the right to vary the duties, responsibilities, capabilities and behaviours set out in this document,from time to time, according to the needs of the companys business and client demands.