Investment Compliance Consultant

Company: Aston carter
Location: London, UK
Industry: Financial Services, Aston carter, Compliance, Other
Rate: 40000.0 - 50000.0 GBP Salary
Job Type: Permanent
ID: JP-002569041
Posted: 13 Jan 2022

Job Description:

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: 40000.00 - 50000.00 GBP Yearly

Job Type: Permanent

Trading as Aston Carter. Allegis Group Limited, Maxis 2, Western Road, Bracknell, RG12 1RT, United Kingdom. No. 2876353. 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

To access our Online Privacy Notice, which explains what information we may collect, use, share, and store about you, and describes your rights and choices about this, please go to

We are part of a global network of companies and as a result, the personal data you provide will be shared within Allegis Group and transferred and processed outside the UK, Switzerland and European Economic Area subject to the protections described in the Allegis Group Online Privacy Notice. We store personal data in the UK, EEA, Switzerland and the USA. If you would like to exercise your privacy rights, please visit the "Contacting Us" section of our Online Privacy Notice at for details on how to contact us. To protect your privacy and security, we may take steps to verify your identity, such as a password and user ID if there is an account associated with your request, or identifying information such as your address or date of birth, before proceeding with your request. If you are resident in the UK, EEA or Switzerland, we will process any access request you make in accordance with our commitments under the UK Data Protection Act, EU-U.S. Privacy Shield or the Swiss-U.S. Privacy Shield.

About Aston Carter:

Aston Carter has grown to become a preeminent global provider of top talent to businesses requiring highly specialised professionals focusing on Accounting & Finance, Change & Transformation, Compliance, Management Consulting, Operations and Risk & Regulation. Aston Carter’s global reach extends to 16 countries across Europe, Asia and North America – each with a firm focus on the core values that made Aston Carter the company it is today: Commitment, Character & Trust, Relationships, and A Passion for Excellence.

Contact Information:

Al-Myman Salim

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