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Associate Regulatory Consultant | Financial Regulation

  • Salary: £40000.00 - £42500.00 per annum
  • Location: City of London
  • Sector: Associate, Senior Associate
  • Job type: Permanent
  • Date posted:
    25 Jul 2017
  • Job reference: 27436
Associate Regulatory Consultant | Financial Regulation
City of London
Salary up to £42,500 plus benefits, bonus

A leading, mid-tier professional services firm with an international footprint.

The Regulatory Consulting team is looking to appoint an Associate Consultant to support a highly technical team with the provision of regulatory services to a range of clients and provide support on project delivery.

* Keep up to date with changes with FCA rules and guidance in terms of key changes and ensure this is communicated effectively to all relevant parties, by way of briefings, emails and fact sheets
* Draft Financial Promotions on behalf of clients
* Ensure compliance manuals are kept up to date, monitor programmes for necessary changes and report on any findings
* Assist senior staff with performing monitoring and reporting at clients premises
* Produce written reports on remedial actions resulting from the monitoring programme and contribute to follow-up meetings with operational line managers
* Support the team with the preparation of FCA application packs, variation of permission notices and update of firms ICAAPs
* Assist with work required under FCA Risk Mitigation Programmes, Firm Systematic Framework visits and s166 reviews
* Assist in the preparation of internal and external courses to keep up to date with regulatory issues
* Assist in the continual development of the Regulatory Consulting team through active contribution to the advancement of the proposition and the development of internal processes, systems and templates used in the delivery of client service; and by being the primary resource for the departments retained services desk.


* Will have previous experience within a compliance environment, preferably within investment management, in addition to having a broad background in financial services
* Good working knowledge of the FCA or PRA Handbook;
* Working understanding of at least one of the following areas of the FCA Handbook: COBS, BIPRU, IPRU(INV), CASS, CONC and SUP;
* Working understanding of at least one of the wider pieces of UK/European Regulation: AIFMD, MIFID, Recovery and Resolution Directive, JMLSG notes, Money Laundering Regulations, Data Protection Act, Senior managers Regime and the Payment Services Directive

Please visit the IDEX Consulting Ltd website for further opportunities. If your application is successful we will contact you to discuss the opportunity in more detail within 2 working days of receiving your application. If your application is unsuccessful, the information supplied may still be retained for use in connection with future vacancies. Due to the overwhelming application response we receive through various sources, should you not hear from us within one week then please assume your application has been unsuccessful.
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