Compliance Advisory Consultant – Asset Management

  • Location


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  • Salary:

    Up to £65,000

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  • Published:

    about 2 years ago

The Client

The role is with a multi-national asset management firm with Headquarters in London. Their customers include individual savers and investors, members of pension schemes and life insurance policyholders. Company currently manages almost £300 billion of customer assets in investments including: bonds, equities, infrastructure, property, alternatives and cash. About 2000 employees globally, with 1400 in their London office.


The Role

Working as a part of the investment compliance advisory team you will be directly responsible for providing professional and timely Compliance advice to the investment management business in a clear and constructive manner, ensuring that the business understands its regulatory and legislative responsibilities. While reporting directly into Investment Compliance Advisory Manager, your responsibilities will include:

  • Providing advice and support to the business in relation to institutional product regulation
  • Regulatory rule interpretation as well as advising on UK regulatory requirements and the FCA Handbook (e.g. SYSC, COBS, MAR, SUP, US Investment Advisers Act etc.)
  • You will be working closely with the Regulatory Development team on regulatory changes with a markets / trading focus as well as advising the front and back office on transactional regulation and market facing issues
  • You will need to be able to advise the business on MiFID II and EMIR requirements and other markets / trading related matters
  • Supporting a range of regulatory change projects and business changes projects which have regulatory impacts
  • Technical input with regards to the development of regulatory training (e.g. market abuse, information barriers, conflicts of interest)
  • Supporting the review and ongoing maintenance of company policies and inputting into the delivery of regular Compliance Department
  • Completing due diligence when the business is seeking to invest in a new market or instrument


Key Requirements

  • University degree and/or relevant industry qualification
  • Minimum of 4 years working experience of delivering Compliance advice in an institutional asset management or sell-side/broker environment
  • Good working knowledge of trading and trading lifecycle (incl. back-office) of liquid products (e.g. cash equities, bonds, derivatives)
  • Knowledge and awareness of US, UK and European regulatory environment and their impacts on a UK based fund manager
  • You will
    • Be a self-starter, high levels of initiative and a strong work ethic
    • Able to analyse complex and evolving positions and ability to express regulatory concepts in a clear and concise manner
    • Have strong communication skills
    • Be commercially aligned with a can do attitude and pragmatic approach to provision of advice
    • Be a team player, supportive with a collegiate approach