The Compliance Consulting Associate will successfully support consultants on a portfolio of Firms by providing compliance advice, including a variety of core compliance areas and technical assistance, aiming to ensure positive client feedback.
Part of a growing team and business, this is a multi-faceted role, created in response to client requests for dedicated support combining:
- Ongoing compliance assistance, in the form of regular monitoring and attending advisory meetings; and
- Supporting a team of consultants with the aim of developing into the consulting role.
Tasks (what does the role do on a day-to-day basis)
- Responsive regulatory advice and solutions;
- Supporting varied engagements such as: KYC refresh projects, AML Risk Assessments and Internal Capital and Risk Assessments (ICARA);
- Updating clients on regulatory changes and how it impacts their business;
- Setting up relevant policies, procedures and working documentation for clients;
- Working with consultants and clients to devise their risk-based monitoring programmes;
- Supporting regular compliance monitoring or review visits onsite with clients, and subsequently writing up working papers and reports;
- Involvement in designing / running training courses;
- Involvement in reviewing upcoming regulatory requirements and drafting thought leadership publications;
- Taking part in reviews of RegData filing and financial reporting;
- Building / developing client relationships.