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Principal Consultant

  • Salary: £75000 - £95000 per annum
  • Location: London
  • Sector: Compliance
  • Job type: Permanent
  • Date posted:
    18 Feb 2020
  • Job reference: 33509

Regulatory consultancy for the wholesale finance sector working with a broad range of clients that include hedge funds, fund of funds, long-only Managers, private equity, venture capital, institutional brokerage, capital introduction and Investment Advisers.
Reporting to the Director of Regulatory Consulting, you will undertake an extremely varied and rewarding role becoming central to our client advisory team and managing a portfolio of clients. You are likely to have experience of working at the FCA, for a compliance consultancy or as an in-house Compliance Officer.
Whilst this is not a business development position, the standard of your work and your attention to client service levels will reflect our offering and high standards will be required to support the further development of our business.


  • You will be responsible for your own portfolio of clients and assisting / advising them in all FCA regulatory matters pertaining to their business. Specifically, this could include, but is not limited to
  • Assist in evaluating the approach to the delivery of consulting services and implementing agreed enhancements
  • Complete all aspects of mock FCA inspection fieldwork, including supervising and reviewing the work of staff, writing mock FCA inspection reports and/or reviewing drafts prepared by staff
  • Perform policy and procedure reviews, including supervising and reviewing the work of staff
  • Assist clients in developing and documenting their compliance policies and framework
  • Manage a portfolio of client mandates and support clients with their compliance questions and requirements
  • Identify business opportunities to provide a more comprehensive offering of compliance services to existing clients
  • Conduct research, write articles and/or make internal or client presentations on compliance specific issues, rules or regulations
  • Keep up to date with current regulatory developments and informing clients as necessary
  • Subject to client demand there is also the opportunity to work with US colleagues on US regulatory matters / projects (SEC/ CFTC)
  • Supervise and train Consultants and other junior members in the team
  • Any other ad-hoc duties as may be required from time to time

Skills and Profile

  • Exceptional oral and written communication skills, as well as advanced presentation skills
  • Strong analytical skills; organised and detail oriented with the ability to multi-task and prioritise effectively
  • Ability to work under tight deadlines and able to prioritise and managing multiple projects and assignments
  • Outstanding interpersonal and client-relationship management skills
  • Professional and calm under pressure - able to work in different environments often with the senior management of regulated firms
  • Proficient with Microsoft Office applications, Adobe Acrobat, etc.
  • Strong academic background (i.e. degree level or recognised professional qualification), in addition to the CFA Investment Management Certificate - Units 1 and 2 (or equivalent as determined by ACA)
  • Very strong working knowledge of the Financial Services and Markets Act 2000, the Markets in Financial Instruments Directives, the Alternative Investment Fund Managers Directive, and related FCA rules and guidance
  • The successful candidate is likely to be professionally educated and/or a compliance practitioner with relevant experience of wholesale financial services from working at the FCA, in a compliance consultancy or in an in-house compliance position
  • Relevant experience

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