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Compliance Consultant

Information About This Job

Job Title: Compliance Consultant
Contract Type: Permanent
Location: London
Salary: Competitive salary
Contact Name: Mark Foy
Contact Email:
Job Published: about 2 years ago

Job Description

About The Company

The company is one of the world’s leading financial institutions. We specialise in providing asset servicing solutions and asset management to both institutional and personal clients. The delivery of products and services to this client base is supported through a network of offices in more than 40 countries around the globe.

We believe our most valuable asset is our engaged, empowered & diverse workforce. As a global institution, the company is committed to building upon this diverse talent through encouraging innovative thinking and personal courage in an inclusive environment. The company's commitment to diversity & inclusion is evident in our internal initiatives for which we have won several globally recognised awards. 


About The Role

The Compliance Consultant within a Risk/Compliance team operating in a successful international Asset Management, reporting to the Head of Compliance with a focus on Portfolio Compliance.  The role offers excellent exposure to someone looking to develop their career in an asset management based compliance role that is front office focused.  The position will provide technical research and consultation to support compliance programs and activities in all of the firm's international units but with particular focus on Europe and within a global framework.  Acting as a partner to both Compliance team members and managers and staff in the business units, the incumbent will provide consultation and advice on regulatory matters.   


Key Responsibilities

  • Providing technical research and consultation to support compliance programs and initiatives
  • Being familiar with the strategy, businesses, clients and products in order to provide timely and accurate regulatory and compliance advice to business partners on regulatory requirements
  • Implement and develop the Compliance Monitoring & Testing Program including trading practices (surveillance) and best execution monitoring.  
  • Provide back up support to the wider compliance team as and when required, including guidelines monitoring.
  • Provide regulatory reporting production and/or oversight e.g. FCA Transaction Reporting, Substantial Shareholder Reporting.
  • Oversight of Conflicts of Interest Management e.g. code of ethics, personal account dealing, gifts and entertainment
  • Support regulatory inquiries and examinations
  • Assist in the development of compliance frameworks and related policies and procedures
  • Develop and implement training programs with subject matter experts, and Corporate Compliance.
  • Providing ad-hoc project support as required, and support senior members of the department in the identification, planning and execution of the Department’s activities.
  • Attendance and reporting to various committees 


Candidate Specification

  • Proven experience in advising and/or monitoring of asset management business 
  • Detailed knowledge of FCA Handbook, and working knowledge of International regulations e.g. MiFID II, UCITS, SEC
  • Strong background in and understanding of investment management products and services with in depth understanding of securities, cash and derivatives market instruments
  • Prior experience in the interpretation and analysis of complex investment management agreements, investment management guidelines, and industry standards e.g. IMMFA, Money Market Fund rating providers 
  • Analytical ability to identify and understand problems and provide effective solutions
  • Highly motivated individual who has a proven record of using initiative to resolve problems
  • Ability to make decisions on their own and also to be a team player and effective communicator to ensure that issues are appropriately resolved
  • Excellent verbal and written communication skills
  • Desire to stay in front of new business/regulatory developments
  • Excellent organizational and analytical skills.


Key Competencies

  • Communication, written and verbal
  • Client focused relationships
  • Time management
  • Decision making/judgement 
  • Analytical skills
  • Persuading and influencing.

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