Regulatory Consultant- Investments

We are seeking a Regulatory Consultant to join the Investments practice of a well respected, high growth Compliance focused consultancy firm.

In this role you will be supporting a range of clients who offer wholesale investment products to both retail and institutional clients with a real breadth of compliance related support.

Key Responsibilities:

• Assisting with the drafting and submission of applications to the FCA for firms who fall in scope with both MiFID and AIFMD directives
• Performing the review of clients' Financial Promotions
• Providing clients with relevant and timely advice on regulatory developments which will impact them
• Conducting regulatory due diligence reviews as part of M&A projects
• Undertaking audits for clients on their existing regulatory frameworks and compiling detailed reports on your findings and recommendations
• Assist clients with the development of regulatory polici...