Compliance / Regulation / FCA / COBS / AIF / FIN PROM / SYSC / Investment /
Wells Tobias is currently looking to hire an experienced Compliance professional to work for this busy London based client.
This role will be working with the senior / executive leadership of this firm to manage a portfolio of around 35 clients that require compliance (FCA) monitoring, intervention and control plus advice so they can operate their businesses in the UK.
The company operates as a regulated authority so faces off with the FCA directly and on behalf of their clients to ensure they can conduct their regulated business within the UK without having to complete the full regulatory approval process or while they are currently going through the process.
The role will be both client and FCA facing. It will involve dealing with demands as well as providing proactive advice for a portfolio of clients.
The business operates as an approved representative for a wide range of business from single managers trading managed accounts in cash equities to large VC platforms, boutique corporate finance, unregulated funds in the traditional and crypto space, Professional and Retail clients.
They require someone with good working knowledge of small AIF, COBS, FIN PROM, SYSC and the breadth of experience to apply this when the answers are not always readily available.
Looking for an immediate start with the opportunity ideally for someone who is looking for a longer term permanent opportunity
It is Wells Tobias Recruitment Solutions' policy, as a matter of courtesy, to respond to all applications within three working days. However because of the volume of applications, we are sometimes unable to respond to individual applicants. If we have not contacted you within three working days your application has been unsuccessful and your details have not been retained. Please apply for any other position that you may see in the future. Thank you.