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Advisory Compliance Officer - Investment Management

  • Location:

    City of London

  • Sector:


  • Job type:


  • Contact:

    Alexia Brodie Cooper

  • Contact email:

  • Job ref:


  • Published:

    12 days ago

  • Expiry date:


​An exciting opportunity has arisen for a Vice-President to join our client’s Investment & Trading Compliance team, which includes supporting their EMEA Alternatives business.

The Investment and Trading Compliance Team provides professional compliance advice and oversight to the various Investment and Trading business divisions within The Firm. This role focuses on The Firm’s Alternatives businesses including Real Estate, Infrastructure and Private Equity. In relation to the Alternatives business this role includes advice and oversight in relation to all aspects of the business including product.

Key Responsibilities
  • Making a strong contribution to the team’s provision of Compliance advisory support and oversight for the Alternatives businesses and Product Development;

  • Liaising with portfolio managers and other investment staff, conduct of business requirements and the application of The Firm’s compliance policies;

  • Advising and overseeing new product initiatives including, regulatory structuring, review of fund documentation and preparation of internal investment guidelines;

  • Leading Compliance participation in Compliance or business-driven projects, including regulatory developments and strategic initiatives, by providing expert and timely value-added advice;

  • Advising on and interpreting regulation in relation to investment decisions, issues and potential breaches;

  • Contributing to the creation of management reporting and communication on Compliance matters to senior management, corporate and/or fund boards and The Firm business stakeholders;

  • Providing advice on the anticipation, impact assessment and response to regulatory development; and,

  • Designing and delivering effective regulatory training initiatives to the business.

Knowledge / Experience
  • At least seven years’ experience within a control function within the asset management industry, ideally within Compliance or Legal;

  • Demonstrable ability to influence a highly performing internal client base by delivering timely, credible, accurate and value-added advice;

  • Highly effective written and verbal communications skills;

  • Consistent ability to demonstrate high standards of professional accuracy and excellent attention to detail;

  • Self-motivation, the ability to work autonomously and high energy levels;

  • The technical ability and mindset to deliver a solutions-driven approach and the judgement to use this in appropriate circumstances;

  • Excellent organisational skills with ability to prioritise workloads, progress multiple tasks and adhere to deadlines