Responsibilities are wide-ranging and varied, given the exciting projects we work on. We are keen to speak to people with a passion for problem-solving and delivering high-quality outputs.

Key responsibilities:

• Keeping up to date with regulatory requirements applicable to the Thistle Consulting investment team client base and ensuring timely implementation of changes, including updates to policies and procedures.
• Maintaining an up-to-date knowledge and understanding of FCA regulation, including, Suitability, Governance, Market Abuse, Conflicts of Interest, Personal Account Dealing, Inducements, Financial Promotions, and Training and Competence, and the other areas applicable to primarily MiFID and non-MiFID wealth management firms, SIPP operators, and, where relevant, SSAS providers.
• Self-starter attitude to completing client work and delivering high-quality client service levels, as well as mentoring junior team members to do the same.
• Supporting the Partner and Senior Managers in the delivery of client projects, including oversight, task delegation, and quality assurance.
• Responsible for the oversight of junior team members and for the smooth running of client projects in the absence of the Partner.
• Undertaking client audits, including reporting and making recommendations to address any areas of concern.
• Multitasking and managing multiple client projects at any given time.
• Ability to work under pressure, with tight turnarounds and with consideration for regulatory or client deadlines.
• Understanding the principles of utilisation, working on client projects as efficiently as possible within the scope provided. Being accountable for own time management and that of the junior staff on a project.
• Strong client relationship and key account management, becoming their trusted advisor.

This role is not limited to the above duties, due to the nature of the market you will need to be adaptable and open to change in this position.

Experience and technical knowledge

• Practical regulatory compliance experience within the SIPP sector is highly desirable, including familiarity with the key regulatory and conduct risks affecting SIPP operators. Experience of SSAS arrangements would also be beneficial.
• Certificate/s in financial investments such as the CISI IOC or equivalent qualification beneficial.
• Diploma/s in financial investments such as the CISI IAD, PCIAM, or equivalent or working towards qualification beneficial.
• Diploma in Investment Compliance, equivalent, or working towards qualification.
• Educational attainment at degree level useful but not essential.
• Must have a detailed understanding of the investment and wealth management sectors, ideally including experience of SIPP operators and broader pensions-related compliance, be able to apply knowledge of applicable regulation to the business requirements of our clients.
• A working knowledge of; MiFID II, AIFMD, fund administration, SM&CR, Market Abuse, MLR’s, EMIR, and on/offshore fund establishment beneficial.

Skills and behaviours

• Excellent communication skills to communicate openly and effectively, both internally and externally, to deliver the requirements of our client firms, with the ability to adapt to different audiences.
• Exceptional attention to detail.
• Commercial awareness to be mindful of the commercial objectives of the firm when delivering compliance assistance.
• Commitment and enthusiasm with the desire to see the firm succeed.
• Ability to embrace change and be adaptable to the changing requirements of the regulations and be keen to develop new skills accordingly.
• Personal credibility with the ability to establish and maintain trusting relationships with others.
• Team working skills that foster effective and productive working relationships to be considerate to the needs and opinions of others.
• Proactive attitude to actively seek new tasks and have a growth mindset.
• Self-driven with the ability to act as a team player.
• Determined attitude with the resilience and tenacity to manage projects from start to finish.
• Must be able to work autonomously and take initiative, identifying when referral needs to be made.
• Excellent written communication skills with the ability to draft written communications and documentation in an articulate way and to a high standard.

What we offer

• Competitive salary and benefits package.
• 25 days’ holiday entitlement and company pension scheme.
• Hybrid working with a City of London base.
• Supportive team culture with regular social events.

If you are looking to springboard your career to the next level and would like to be part of a supportive and dynamic culture, then please apply immediately.