SEC Consultant (London based)

  • 60-90 plus benefits package and annual discretionary bonus
  • London, England, United Kingdom
  • Permanent, Full time
  • Cordium
  • 26 Sep 16

Cordium is the leading global provider of regulatory compliance consulting services to the asset management and securities industry. Cordium has offices in London, New York, Boston, San Francisco and Hong Kong and employs more than 200 experienced professionals who support more than 1500 investment businesses.

Our clients range from start-ups to large firms with well-established track records and utilise a broad array of investment strategies and styles such as: long only, long/short equities, global macro, credit, distressed, bank debt, fixed income, private equity, venture capital, real estate-related and fund of fund strategies.


As part of our ongoing plans to strengthen our offering to UK clients, we are looking to hire a compliance professional who is able to demonstrate significant SEC experience.


This is a very varied role with outline responsibilities including (but not limited to):


  • Manage SEC and CFTC registration projects
  • Carry out compliance monitoring and annual review work on SEC / CFTC requirements for UK clients
  • Train or support the training of our UK staff and clients
  • Work closely with colleagues in Cordium US
  • Carry out FCA work alongside core SEC / CFTC responsibilities as time allows


It is likely that the successful candidate will be degree educated and be able to demonstrate a minimum of 4 – 6 years’ relevant SEC / CFTC compliance experience (although we may consider candidates with more or less experience than this). Whilst not essential, hands on FCA experience would be highly beneficial. For those candidates without FCA experience, there will be opportunities to develop in this area.


At this stage of our search we have a strong preference for candidates with full rights to work in the EU without sponsorship, although we will consider US based candidates who require sponsorship.


Please forward your details to or for a further discussion please contact me on 0203 141 9635

The deadline for applications is 9th August 2016.