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Investment Compliance Advisor

Salary Competitive
Type Permanent
Location London
Sector Compliance
Job Reference T3A/AXP/25362
Contact Adam Pollard
Date posted 02-02-2017

We are currently working with a leading UK Investment Management firm who are looking for an Investment Compliance Advisor to join their Compliance department who provide professional and timely compliance advice to the firm’s institutional asset management business.

As the Investment Management Compliance Advisory your main duties include:

• Provide transactional and product regulatory advice to the investment management bus • Advice and support to the business in relation to institutional business product regulation
• Regulatory rule interpretation including with UK and non-UK requirements (e.g. SYSC, COBS, COLL, FUND, US Investment Advisor Act etc.)
• Wide-ranging Compliance advice to the front office and back office (e.g. transactional regulation and market facing advice, market conduct, dealing, CASS and regulatory reporting advice).
• Assist in the delivery of regulatory change

The successful incumbent will have:

• Experience of delivering Compliance advice in an institutional asset management environment
• Knowledge and awareness of US, UK and European regulatory environment and their impacts on a UK based fund manager
• Product regulatory knowledge (covering a variety of regulated and unregulated collective investment schemes) – especially from the perspective of investment compliance
• Experience of AIFMD, UCITS, EMIR, derivatives and client money issues would be desirable

For more information on the role, please contact Adam Pollard on 02031453348 or

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Contact Adam about this job

Associate, Consultant