Compliance Consultant (6 month FTC)

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Job description

THE RESPONSIBILITIES:

• Assist in the drafting and updating of firm's P&P and deliver compliance training to the business to include the whole suit of conduct of business matters including financial promotion.
• Support in facilitating the identification, assessment and mitigation of Compliance risks, and maintain the firm's risk register as required.
• Development of a monitoring programme and associated reporting framework
• Assist in implementing compliance process (attestations and clearances) operating a compliance platform which support the compliance programme.
• Keep abreast of UK compliance requirements relevant to business operations so as to reflect regulatory implications on P&P and frameworks.
• Develop the investment teams' knowledge of compliance requirements by preparing tailored training.
• Assist in the preparation of MI reports on compliance and regulatory issues for senior management ahead of board and senior management meetings.
• Assist with the preparation of FCA regulatory returns.

EXPERIENCE REQUIRED:

• Proven capability in evaluating and developing the compliance framework for new operating structures in a private equity firm, alternative investment fund management firm, in asset management or investment banking;
• Sound knowledge of MiFID and business conduct issues and requirements, the FCA handbook (SYSC, APER, COBS, CASS, MAR, INVPRU/BIPRU) and financial promotion rules and ability to articulate their implications in the context of Henley activities;
• Experience in developing policies and procedures as well as preparing and delivering training