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Compliance Consultant

Information About This Job

Job Title: Compliance Consultant
Contract Type: Permanent
Location: London
Contact Name: Ben Kinley
Contact Email:
Job Published: about 2 years ago

Job Description

About The Company

For more than a century, our client has worked hard building our legacy of outstanding service, expertise and integrity. From a US-based bank, they now have more than 20 international locations and 16,500 employees globally. They currently serve the world’s most-sophisticated clients – from sovereign wealth funds and the wealthiest individuals and families, to the most-successful hedge funds and corporate brands.

The firm has burnished it's reputation as a global leader delivering innovative investment management, asset and fund administration, fiduciary and banking solutions enabled by sophisticated, leading technology. 

The firm currently manages:

  • $124 billion in banking assets
  • $6.7 trillion in assets under custody
  • $8.5 trillion in assets under custody/administration
  • $942 billion in assets under management


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 firms 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 company's 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 examinationsAssist 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


Skills & Experience

  • 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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