Compliance Consultant

Posted 6 April by Alexander Lloyd Easy Apply

Compliance Consultant

My client, a consultancy company based in the city, are actively looking for a Compliance Consultant to become a part of their busy London office. Their Clients are mainly Asset Managers, Investment Managers and Broking Companies.

They have their own unique software which they provide to their Clients, as a result are looking for someone with a keen eye for detail and an interest in how RegTech will be changing over the industry over the coming years.

Overview of the Role:

  • Actively working towards new business, developing new relationships as well as building on existing relationships.
  • Provide advice to clients to regulatory changes and assist with the implementation of new controls and procedures.
  • Supervise the regulatory technology team, and assist with the design of the products which are on offer.
  • Maintain a detailed knowledge of current and future regulations which will have an impact on the industry as a whole


  • Experience within UK compliance covering asset management or other trading sectors
  • Solid knowledge of the AIFMD and MiFID rules and the FCA Handbook
  • Previous managerial experience would be preferred
  • Entrepreneurial approach to work to remain on top of reg changes which will be coming
  • Degree preferred

Please quote (42672) when calling Alexander Lloyd. This is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include Compliance Directors, CF10/11, Risk Frameworks, Monitoring, Advisory, Policy, T&C, Quality Assurance/ File Review, AML/KYC etc across the entire financial services sector including investments, banking and insurance. We predominately focus on London, Surrey, Sussex and Kent, although we have also been highly successfully in offering national solutions. Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website for any other roles which may be of interest.

Required skills

  • consultant
  • investment management
  • asset management

Reference: 34850561

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