Compliance Advisory - Alternatives, Private Equity

£400.00 - £600.00 per day
20 Mar 2012
27 Mar 2012
Lee Neville
Experience Level
Contract Type

Compliance Advisory Associate

3 month + contract

Day rate £400 - £600 per day


The position is within the Compliance Advisory function servicing a number of dynamic, interesting and distinct investment and advisory business areas within EMEA, including Alternatives, Private Equity and Real Estate. The Compliance Advisory function is responsible for providing qualitative compliance advice to the various business divisions in respect of activities, products and services within the EMEA region. The ideal candidate will have a minimum of 3-4 years relevant experience within financial services, ideally within Compliance or other control function, with a prior knowledge of investment products and services, including traditional mutual fund structures and/or alternatives products, and portfolio management activities.


Key Responsibilities for this role would include:

Working within a team to provide qualitative compliance advice and support to the Business including advice on regulatory change.

Working on new product initiatives including review of fund documentation, preparation of internal investment guidelines and sign-off of sales and marketing collateral and other important business projects providing timely advice on compliance matters.

Liaising with portfolio managers and other investment staff including dealers on regulatory matters including advising on eligibility of instruments, business conduct and application of compliance policies e.g. allocation/execution, inside information and short selling.

Where required, co-ordination of routine or ad-hoc regulatory reporting, for instance, FSA Hedge Fund survey and input to industry best practice e.g. Hedge Fund Standards Board.


Previous experience within financial services, ideally within asset management and with a background in Compliance or other control function.

Good interpersonal skills.

High standard of accuracy and excellent attention to detail.

Ability to prioritise workloads and adhere to deadlines.

Excellent organisational skills;

Ability to collaborate across teams/functions and also autonomously with minimal supervision.

Self-motivated with ability to use initiative.

If you are interested in the above position, please send me your most recent CV along with your salary expectations and notice period -

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