Portman understands that great compliance consulting can only be achieved with a team that is confident, capable and client focussed. Our unique structure allows us to provide flexible working arrangements whilst simultaneously offering best in class support to our clients.
We are currently looking for a Compliance Consultant to add to our dynamic, fast growing, and friendly team of compliance professionals.
The ideal candidate will have considerable Asset Management Compliance Consulting experience and must be comfortable:
• Discussing a start-up’s intended business and determining the appropriate permission profile and drafting the relevant application for Part 4A Permissions.
• Drafting tailored compliance infrastructure (i.e. compliance manual, policies, and procedures).
• Delivering effective and engaging training to clients at start up and periodic thereafter (i.e. new joiner, AML, KYC, marketing etc.).
• Undertaking regular scheduled visits to clients to undertake compliance monitoring, provide regulatory updates and/or attend occasional board meetings.
• Drafting compliance monitoring reports and detailed thematic reviews.
• Providing ad-hoc advice and support to clients and keep them abreast of relevant industry news.
• Supporting clients throughout any Regulator contact, from Gabriel (RegData) filings and Connect submissions to onsite examinations.
• Assisting the Portman team with ad-hoc project work.
• Attending industry events and presenting Portman in an appropriate manner.
Additional US (SEC/CFTC) regulatory experience is desirable.
If you are seeking a new challenge and are interested in the above role, please send your CV to email@example.com.