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Compliance Advisory

Salary Competitive
Type Permanent
Location London
Sector Compliance
Job Reference T3A/HGW/25487
Contact Harry Warwick
Date posted 21-02-2017

We are working with one of the leading UK Investment Management Groups for a Compliance Advisory position within their in –house portfolio manager. This role will be responsible for ensuring relevant individuals are fully aware of the parameters of there authorisation.
As the Compliance Advisory candidate your main responsibilities will include:
• Provide support and advice on APER and SIMR (in co-ordination with firm and UK&E Compliance, as relevant)
• Provide advice in event of compliance/regulatory breaches and advise business on appropriate course of action
• Advise on any market abuse questions
• Maintain insider and restricted lists
• Annual review of all compliance policies; Development of any new Compliance policies
The successful candidate will have:
• Prior experience of acting in a Compliance Advisory or Compliance Generalist capacity for a regulated entity within the Financial Services industry.
• Asset Management experience would be beneficial but if you have investment banking and hedge fund experience, you will also be considered.
• Good drafting and presentation skills essential as is experience in working with senior business stakeholders.

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