Investment Management Compliance Advisory Manager

Job Title: Investment Management Compliance Advisory Manager
Contract Type: Permanent
Location: London
Salary: Benefits and Bonus
Reference: BBBH14507_1488963337
Contact Name: Joshua Rubin
Contact Email:
Job Published: March 08, 2017 08:55

Job Description

Our client, who is a Global Asset Manager based in the City of London are looking to hire an Investment Management Compliance Advisory Manager to provide advice to their Front Office and relevant support teams.


You will be responsible for providing compliance and regulatory advice to the front office as well as the relevant support teams. Your primarily focus will be with the Equity arm of the business, however you will also provide support for both Fixed Income and Multi Asset business areas when required. You will also be responsible for reviewing the impact of regulations and policies which affect the business.

Selected responsibilities:

  • Advise on the impact of regulations and policies affecting the business
  • Provide a variety of advisory support which can include things like, guidance on UCITS eligibility, limits and concentration rules and application of compliance policies
  • Assist in providing training to the business
  • Draft and implement policies and procedures
  • Advise on the development of front office risk based compliance monitoring plan
  • Work with the global compliance teams to ensure that investment restrictions are appropriately interpreted
  • 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
  • Support global compliance teams on things such as guidance on FCA COBS and EU MiFID requirements and application of compliance policies
  • Build and maintain relationships with internal and external stakeholders


  • Compliance experience within asset management firm across a broad range of products and investment management is preferred
  • Knowledge of Equities, Fixed Income or Multi Assets is required
  • Experience working in a front office advisory function is highly beneficial
  • 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 opportunity then please apply to this advert or send a copy of your CV or call 0203 189 4317.