Regulatory Consultant (Associate) - Funds

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    about 1 year ago



MERJE are engaged with a with a leading regulatory consultancy who are looking to bring in a Regulatory Advisor at Associate level specialising in the Funds, Asset, Private Equity and Corporate Finance space.


Working in a well-established team, you will be mainly responsible for supporting clients on a wide range of regulatory and compliance matters which will include:


  • Drafting and maintaining policies, procedures and compliance monitoring programmes
  • Compliance advice around topics including; suitability, product governance, regulatory change, financial promotions
  • Developing training materials and assisting in delivering training sessions
  • Assisting with regulatory matters including authorisation applications and variations of permission
  • Carrying out compliance health checks and periodic monitoring
  • Responding to ad-hoc and routine regulatory queries
  • Arrange and help prepare for client meetings
  • Manage the client files in relation to document and data tracking
  • Actively seek to increase the firm's client base by performing market research and identifying new prospect clients to target
  • Attend relevant industry events to build your network and promote the brand
  • Assist the team with marketing and business development activities



  • Educated to degree level
  • Minimum 2 years relevant compliance-related experience gained at a financial institution, legal practice, consultancy and/or the regulator
  • Must have strong technical Regulatory knowledge of the Funds, Asset Management, Private Equity or Corporate Finance sectors
  • Experience translating regulatory rules and guidance into meaningful, fit-for-purpose and pragmatic solutions and advice
  • You will need to be flexible, hands-on and willing to tackle a broad range of matters, which may be outside your main areas of expertise
  • Excellent oral and written skills
  • Entrepreneurial mind set and ‘can do’ attitude