Compliance Consultant

Position: Compliance ConsultantRequested by: Laven Hosting LtdSalary (GBP): Competitive, DOE, plus benefitsPerm/Temp: PermanentHiring Manager: Elizabeth Frumson (COO)Department: Hosting TeamJOB SPECIFICATIONWe are looking for a Compliance Consultant (Senior Associate level) to join our London based team. We offer a competitive package, dependent on experience, plus benefits including Pension and Private Healthcare.The Laven Hosting business was established over a decade ago, providing reliable services to the investment management industry, developing an expertise in product structures and due diligence, leading the group to offer an FCA umbrella service to appointed representatives and fund managers. With continued growth, the company is looking for an experienced Compliance Consultant to enhance the firm's offering and entrepreneurial progression.Our business caters to all types of management strategies from PE to liquid funds and including more advanced strategies on ESG, fintech and digital assets. Under our UK regulatory umbrella solution we enable clients to 1) conduct investment advisory activities and/or arrange deals in investments activities as an appointed representative; 2) to manage investments as a MiFID investment manager; 3) manage unauthorised AIFs as an AIFM.Our services are underpinned by a talented team, and we are excited to have clients who are pioneers in women-led run businesses and tech, including clean tech. We also cater to more traditional managers as well as many non-UK businesses operating from the UK, thus giving us a very international client base.The responsibilities of our Compliance Consultant will include:Overseeing the supervision of Appointed Representatives (AR), as need be, including performing due diligence and on-boarding of new ARs, leading virtual/on-site visits, ongoing monitoring of AR compliance through AR reporting, reviewing financial promotions and personal account transactions, and providing training and ad-hoc advice to ARs.Managing client Taskworld and Freshbooks records and time recorded for invoicing, and overseeing internal procedural documents (e.g., the AR Handbook) and Hosting Overview lists.Supporting the risk team with portfolio monitoring, KYC procedures on target ventures for managing clients, and participation in internal risk management committees.Working with senior staff on any new laws that may affect Laven, to ensure the firm has appropriate systems and controls in place, and drafting articles relating to compliance news and regulatory developments for the firm's website.Reviewing compliance manuals and other client requests across the group, including for Lumen Asset Management and/or Laven Advisors LLP.Reviewing agreements and templates relating to the provision of regulatory hosting services, and tracking ongoing contracts.Supporting fund administration, fund management and investment risk functions, working closely with and learning from the Head of Risk.Improving and growing the firm's client base for the hosting platform, promoting Laven products through meetings, calls, demos and industry events, and building independent client relationships, including leading client meetings alone with successful outcomes and supporting and supervising Junior Associates.To become our Compliance Consultant, you will have the following skills, experience and attributes:Proven experience as a Compliance Consultant or similar, ideally at Associate level or above, within financial services or regulatory hosting.Legal degree preferred but not essential.Minimum of 2:1 university degree or equivalent.Strong interest in, and working knowledge of, the regulatory industry and FCA regulations.Well organised and meticulous attention to detail.Excellent written English.Structured and commercial thinking.A pragmatic and common-sense approach to solving problems.Excellent analytical and communication skills, with a proven ability to lead client meetings and manage relationships independently.Experience supporting risk management, KYC or due diligence processes is a notable advantage.IT proficient.