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Compliance Advisory - Exchange Traded Funds

Salary Competitive
Type Permanent
Location London
Sector Compliance
Job Reference T3A/HGW/25383
Contact Harry Warwick
Date posted 06-02-2017

One of the leading Investment Management firms in London is currently looking for an ETF Compliance Advisory specialist to join their Compliance department.

The Compliance Advisory candidate will be responsible for:

• Making a strong contribution to the team’s provision of Compliance advisory support and oversight for EII businesses, Product Development and index portfolio teams.
• Liaising with portfolio managers and other investment staff including dealers in relation to the regulatory framework, including advising on UCITS eligibility, limits and concentration, conduct of business requirements and the application of the firm’s compliance policies.
• Providing advisory support in relation to the regulatory framework for our index tracking fund ranges.
• Advising and overseeing new product initiatives including, regulatory structuring, and review of fund documentation, preparation of internal investment guidelines and sign-off of sales and marketing collateral.
• Advising on and interpreting UCITS guidelines in relation to investment decisions, issues and potential breaches

The ideal candidate will have:

• Knowledge of UCITS is vital. Additional experience of other fund structures would be an advantage.
• Extensive experience within a control functions within the asset management industry, ideally within Compliance or Legal.
• Demonstrable ability to influence a highly-performing internal client base by delivering timely, credible, accurate and value-added advice.
• High levels of enthusiasm for supporting an innovative product development, marketing and distribution strategy.
• Highly effective written and verbal communications skills.
• Consistent ability to demonstrate high standards of professional accuracy and excellent attention to detail.

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

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Contact Harry about this job

Director, Compliance & Finance