Advisory Compliance Officer- Asset Management Firm-12 Month Fixed Term Contract- 03/02/2020

Our Client, a leading Asset Manager is looking for a Compliance Officer to sit within the Compliance Advisory function.  The Compliance Advisory function is responsible for providing qualitative compliance advice to the various business divisions in both the UK and US.

This position will provide compliance support and advice to the client’s portfolio managers; traders, credit analysts and salespeople who manage and sell assets across the fixed income spectrum through a combination of pooled investment vehicles and separately managed accounts.

Providing practical guidance to the client’s investment functions on the proper interpretation and application of regulatory requirements, industry codes of practice and internal policies and procedures relating to but not limited to:

  • Wall crossings, market soundings and other matters relating the treatment of inside information and market abuse; o Liaising with portfolio managers and other investment staff on regulatory matters including advising on eligibility of instruments (both for both UCITS and AIFs); o Detailed working knowledge of the following areas: long only credit funds, credit hedge funds, CLO’s/securitizations and distressed investing. o Investment related conflicts of interest management including aggregation and allocation, cross trades; affiliate transactions, investments in different parts of the capital structure and best execution.
  • Participate in the review and evaluation of new instruments and open and closed end investment vehicles to identify compliance issues and surveillance needs.
  • Detailed analysis, interpretation and practical application of new regulatory requirements that impact the client’s investment activities.

Primary liaison with relevant stakeholders with respect to the implementation of new regulatory requirements

  • Collaborate with other members of the Compliance Team to update policies, procedures and monitoring and surveillance techniques relevant to the firm’s investment activities.
  • Periodic thematic training and presentations to investment professionals to ensure they remain informed of regulatory developments and implementation of the same.
  • Liaison with relevant stakeholders in the firm’s Global Business Developments Group with respect to the approval or marketing materials in Europe and the Americas.

In addition, all members of the team are involved in the following:

  • Assisting the business in the development and maintenance of robust control procedures.
  • Conducting risk-based compliance reviews of the adequacy of control processes.
  • Following up to ensure that issues identified by compliance monitoring reviews are addressed and any necessary controls are implemented to reduce the risk of recurrence.
  • Development of training for employees and ensuring that employees undertake required training in a timely manner.


Contact Details

Name: Alexia Brodie Cooper


Number: 0207 183 0070

Posted: 03/02/2020