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Senior Principal Consultant

  • Salary: £85000 - £110000 per annum
  • Location: London
  • Sector: Compliance
  • Job type: Permanent
  • Date posted:
    18 Feb 2020
  • Job reference: 33507

A 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.


  • Serve as relationship Manager in supporting clients with all of their compliance questions and needs
  • 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 compliance policies
  • Providing commercially sound regulatory solutions and advice to the senior management of a wide range of entrepreneurial regulated clients
  • Provide lead support in helping clients interact with FCA and other regulators on examinations, investigations and similar reviews
  • Managing regulatory projects, such as annual compliance audits or mock examinations
  • Conducting research, writing articles, and/or making internal or client presentations on compliance specific issues, rules or regulations
  • Supervise and train Consultants and other junior members in the team
  • Assist the company in implementing best practices in all client-interfacing activities
  • 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)

Skills and Profile

  • Entrepreneurial attitude, with a desire to help build a business and help clients do the same
  • Able to think commercially about sometimes complex regulatory issues and able to work exacting client demands / deadlines
  • Capable of working on-site at client offices using their own initiative - alone or as part of a team
  • Clear, diplomatic and comprehensive communicator
  • Strong analytical skills; organised and detail oriented with the ability to multi-task and prioritise effectively
  • 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
  • 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)
  • 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
  • Relevant experience

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