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Investment Compliance Consultant

Information About This Job

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

Job Description

Lawson Chase are currently working closely with a global knows asset management firm in hiring an Investment Compliance Consultant.


For more than a century, the company has worked hard building a legacy of outstanding service, expertise and integrity. From a US based bank founded in 1889, they now have more than 20 international locations and 16,500 employees globally. The firm serves 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 burnished its reputation as a global leader delivering innovative investment management, asset and fund administration, fiduciary and banking solutions enabled by sophisticated, leading technology. And through it all, they have continually laid a solid, forward-looking foundation on which future generations can continue growing and achieving greater.


About The Role

The key responsibilities of the role include: 

The role is to support the production of the regular timetabled compliance reporting outputs and to support the Compliance needs of the clients who take this service.

This position is responsible for working with the Compliance Analyst system and to help clients monitor their investment manager’s investment guidelines. Day-to-day responsibilities for the Compliance Analyst system component include reviewing client investment guidelines, setting up the guidelines on the Compliance Analyst system, testing to ensure desired output, ongoing client servicing and attend meetings as required by clients or internal partners.  Day-to-day responsibilities also include reviewing all triggered messages, investigating the output and notifying the client of any true violations.

The incumbent of the role will be expected to have a sufficient knowledge base to act as Subject Matter Expert and be comfortable at engaging in conversations with clients, investment managers and the firm's product team to articulate requirements pertinent to the firm's ability to provide compliance services.

The successful candidate will benefit from having: 

  • Act as subject matter expert for the firm's Compliance Product offering
  • Investigate daily breach monitoring
  • Answer client queries
  • Create guideline reviews
  • Attend client meetings
  • Ensure rule set-up in system for new mandate implementations
  • Produce monthly reports
  • Data inputs into Compliance system to enable monitoring where required
  • Provide custom client solution support
  • Engage new client implementations
  • Provide oversight of offshore team, as well as mentoring and supporting their development to help assist London Client Service team
  • Work and support new system implementation initiative as and when required
  • Provide new business/sales process support


Skills / Experience

  • Excellent verbal and written communication skills. 
  • Extremely detail oriented with strong planning and organisational skills.
  • Familiarity with investment manager guidelines and language used in investment manager agreements.
  • Knowledge of financial markets, investment instruments and portfolio management strategies.
  • Knowledge of fixed income and derivatives asset classes would be advantageous.
  • Familiarity with various investment styles, asset classes, strategies for achieving performance goals, benchmarks, and investment related terminology.  
  • Interest in researching topics, such as substantial shareholder limits and other topics related to the clients’ investment requirements for their global investments.
  • Experience with industry vended compliance monitoring systems such as Charles River, Bloomberg POMS, RCB Dexia, etc. and/or Mutual Fund Compliance and Risk Monitoring experience is a plus.
  • Solid working knowledge of Excel 
  • Experience with Bloomberg, Moody’s, S&P, and Fitch a plus.
  • Knowledge of and interest in writing Excel macros and creating custom reports using VBA, and/or Business Objects, is a plus.
  • Strong team player

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