My client is looking for an experienced Investment Compliance Consultant to support the production of the regular timetabled compliance reporting outputs and to support the Compliance needs of the clients who take this service. This position is responsible for working with the Compliance Analyst system and to help clients monitor their investment manager’s investment guidelines.
Day-to-day responsibilities for the Compliance Analyst system component include reviewing client investment guidelines, setting up the guidelines on the Compliance Analyst system, testing to ensure desired output, ongoing client servicing and attend meetings as required by clients or internal partners. Day-to-day responsibilities also include reviewing all triggered messages, investigating the output and notifying the client of any true violations.
The incumbent of the role will expected to have a sufficient knowledge base to act as Subject Matter Expert and be comfortable at engaging in conversations with clients, investment managers and the product team to articulate requirements pertinent to my client’s ability to provide compliance service.
The key responsibilities of the role include:
· Act as subject matter expert for the client’s Compliance Product offering
· Investigate daily breach monitoring
· Answer client queries
· Create guideline reviews
· Attend client meetings
· Ensure rule set-up in system for new mandate implementations
· Produce monthly reports
· Data inputs into Compliance system to enable monitoring where required
· Provide custom client solution support
· Engage new client implementations
· Provide oversight of off shore team, as well as mentoring and supporting their development to help assist London Client Service team
· Work and support new system implementation initiative as and when required
· Provide new business/sales process support
The successful candidate will benefit from having:
· Excellent verbal and written communication skills.
· Extremely detail oriented with strong planning and organizational skills.
· Familiarity with investment manager guidelines and language used in investment manager agreements.
· Knowledge of financial markets, investment instruments and portfolio management strategies.
· Knowledge of fixed income and derivatives asset classes would be advantageous.
· Familiarity with various investment styles, asset classes, strategies for achieving performance goals, benchmarks, and investment related terminology.
· Interest in researching topics, such as substantial shareholder limits and other topics related to our clients’ investment requirements for their global investments.
· Experience with industry vended compliance monitoring systems such as Charles River, Bloomberg POMS, RCB Dexia, etc. and/or Mutual Fund Compliance and Risk Monitoring experience is a plus.
· Solid working knowledge of Excel
· Experience with Bloomberg, Moody’s, S&P, and Fitch a plus.
· Knowledge of and interest in writing Excel macros and creating custom reports using VBA, and/or Business Objects, is a plus.
· Strong team player
This is a permanent role paying £50,000 based in London.
If this is of interest, please apply online or email your profile to .
Job Title: Investment Compliance Consultant
Location: London, UK
Rate/Salary: .00 GBP Yearly
Job Type: Permanent
Trading as Aston Carter. Allegis Group Limited, Maxis 2, Western Road, Bracknell, RG12 1RT, United Kingdom. No. . Allegis Group Limited operates as an Employment Business and Employment Agency as set out in the Conduct of Employment Agencies and Employment Businesses Regulations 2003. Aston Carter is a company within the Allegis Group network of companies (collectively referred to as “Allegis Group”). Aerotek, Aston Carter, EASi, Talentis Solutions, TEKsystems, Stamford Consultants and The Stamford Group are Allegis Group brands. If you apply, your personal data will be processed as described in the Allegis Group Online Privacy Notice available at
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