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Compliance Advisory Associate

Salary Competitive
Type Permanent
Location City of London
Sector Compliance
Job Reference T3A/HGW/27118
Contact Harry Warwick
Date posted 03-10-2017

Our client, a leading asset management firm, is currently looking for Compliance Advisory Associate to join their Compliance team. The successful candidate will work with the team leads to provide qualitative compliance advice and support to the business including advice on regulatory change.

As a Compliance Advisory Associate your responsibilities include:
• Liaising with portfolio managers and other investment staff including dealers on regulatory matters including advising on eligibility of instruments under UCITS, business conduct and application of the firm’s compliance policies
• Provide support and advice on regulatory reporting (e.g. MiFID transaction reporting, EMIR etc.), best execution, re-allocation requests and internal crossings
• Provide support and input to co-ordination of activities relating to the governance of the UK and Luxembourg fund ranges
• Review regulatory developments in areas of responsibility

The successful incumbent requires:
• The ideal candidate will have compliance advisory experience within a ‘buy-side’ asset manager, excellent communication skills and a strong personality, combining energy, enthusiasm, resilience, tenacity, diplomacy and above all, sound judgement under pressure
• Ability to articulate complex issues in a clear and concise manner. Strong presentation skills and effective in writing
• Educated to degree level, possibly with a professional qualification e.g., ACA, CFA, IMC
• Strong working knowledge of FCA Rules and other EMEA regulatory requirements

For more information please contact Harry Warwick on 02031453362 or

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Contact Harry about this job

Director, Compliance & Finance