Investment Compliance Consultant

  • Location:

    London, England

  • Sector:


  • Job type:


  • Salary:

    £50000 - £60000 per annum

  • Contact:

    Lauren Ashwood

  • Job ref:


  • Published:

    7 months ago

  • Expiry date:


  • Startdate:


A global financial services company are looking to add an Investment Compliance Consultant to their team.

The role is to support the production of the regular timetabled compliance reporting outputs and to support the Compliance needs of the clients who use 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.

The ideal candidate will be:

  • Answering client queries
  • Creating guideline reviews
  • Attending client meetings
  • Ensuring rule set-up in system for new mandate implementations
  • Producing monthly reports
  • Inputting data into the Compliance system to enable monitoring where required
  • Providing custom client solution support

Familiarity with investment manager guidelines and language used in investment manager agreements and knowledge of financial markets, investment instruments and portfolio management strategies are essential for this role.

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.


To stay safe in your job search we recommend that you visit SAFERjobs, a non-profit, joint industry and law enforcement organisation working to combat job scams. Visit the SAFERjobs website for information on common scams and to get free, expert advice for a safer job search.