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Compliance Consultancy - FSA & SEC

Full Time
Greater London
27-06-2024 02:27 PM
In addition to assisting with FCA regulation it has an increasing number of clients which it assists with SEC and NFA/CTFC regulation 

Key tasks will include  : 

Responsibility for around 25 retained client relationships 
Providing compliance advice to clients 
Analysing and interpreting regulatory change for clients benefit 
Undertaking compliance projects 
Conducting compliance training 


Minimum 5 years’ compliance experience within asset management or similar

Fergus Hooley


07425 325267