Investment Compliance Advisory Manager - Asset Management

Job Title: Investment Compliance Advisory Manager - Asset Management
Contract Type: Permanent
Location: London, England
Salary: £65000 - £85000 per annum
Reference: BBBH16610_1507142987
Contact Name: Emily Marmoy-Haynes
Contact Email:
Job Published: October 04, 2017 19:49

Job Description


Our Client, a Global Asset Manager, has a strong reputation and enviable presence in its respected markets. The firm has maintained an excellent culture within Compliance due to the level of experience and expertise across the senior management team. The role is broad and dynamic in scope, offering you excellent exposure across one of the market's leading investment teams.


You will be responsible for providing compliance and regulatory advice to the front office as well as the relevant support teams. Your primary focus will be to advise the Equity, Fixed Income and Multi-Asset Investment teams on regulatory compliance issues.

The first year of the role will involve serving as the lead Investment Compliance representative for an ongoing project, taking part in fund manager reviews and working closely with various team across the business.

The role will then focus predominantly on Compliance Advisory and Compliance Monitoring activities.Selected responsibilities:


  • Advise on the impact of regulations and policies affecting the business.
  • Provide advisory support to the Equity, Fixed Income and Multi-Asset teams, including guidance on UCITS eligibility, limits, and concentration rules and application of compliance policies.
  • Build and maintain global relationships with senior management, compliance and other teams in the business, such as legal, audit and risk.
  • Assist in providing compliance training to the business.
  • Support global compliance teams with guidance on FCA COBS and EU MiFID requirements and application of compliance policies.


  • Act as point of contact for the investment management teams on pre-trade issues and queries (including review of pre-trade alerts).
  • Conduct trade/portfolio compliance monitoring using Charles River systems.
  • Advise on the development of front office risk based compliance monitoring plan.
  • Provide advice to the relevant front office to ensure that Charles River pre-trade alerts are resolved before trade execution.
  • Ensure potential breaches are detected and resolved post execution and when required are appropriately documented.


  • Experience working with a compliance role within the asset management industry is essential
  • Experience of working in the investment management industry and of investment products
  • Experience of trade/portfolio compliance monitoring, ideally using Charles River systems
  • Experience working in a front office advisory function is highly beneficial
  • Good knowledge of UK, Luxembourg and Irish regulations relating to investment restrictions (e.g. UCITS and AIFMD) is essential
  • Knowledge of Equities, Fixed Income or Multi-Assets is required
  • Will consider compliance generalist or compliance monitoring professionals looking to move into an advisory function
  • Knowledge of UCITS, MIFID, COBS and Charles River would be advantageous

If you feel you have the relevant experience for this newly created opportunity then please apply to this advert and send your CV to Emily Marmoy-Haynes at Twenty Recruitment.

Twenty Recruitment's Compliance function are a team of specialist consultants covering Financial Crime Compliance and Regulatory Compliance mandates, both permanent and temporary, across Financial Services, Technology and Energy.