Investment Compliance Specialist Investment Compliance Specialist …

in London, England, United Kingdom
Permanent, Full time
Last application, 23 Jul 20
in London, England, United Kingdom
Permanent, Full time
Last application, 23 Jul 20
Our client, a UCITS fund platform, is looking for an Investment Compliance Specialist to their risk team based in London. Investment compliance, portfolio compliance, SQL, Risk Metrics, UCITS, AIFMD, ESMA


  • Daily post-trade investment compliance of UCITS funds (structured and liquid alternatives), reporting, investigation and resolving exceptions
  • Coding new compliance rules and monitoring of investment strategies in line with stated policies and risk profiles
  • Review and prepare relevant policies and procedures, including the risk management process
  • Establish new processes and controls
  • Contribute to the improvement of portfolio compliance measurement/monitoring tools
  • Responding to client related enquiries raised by the Investor Relations team in a timely manner, identifying any potential issues and propose practical solutions
  • Ensure compliance with fund prospectus, global exposure, leverage limits under EU regulation
  • Work closely with Product Development teams to structure new fund strategies in line with local regulations
  • Identify, escalate and resolve compliance-related issues, including active/passive breaches
  • Producing periodic Board and regulatory reports including risk exposures and compliance breaches
  • Conduct investment restrictions coding



  • 5+ years of relevant professional experience, gained within an Asset Management or Hedge Fund company
  • Have a good academic background, a relevant post-graduate qualification (e.g. Masters degree, CFA, FRM etc.) would be advantageous
  • Be knowledgeable of investment risk and restrictions under UCITS and AIFMD, including understanding of ESMA guidelines
  • Be able to work independently as well as part of a team in a busy environment, to identify, research, and resolve any exceptions
  • Demonstrate good attention to detail, and the ability to document working procedures
  • Have strong interpersonal skills, in order to interact effectively with colleagues and with senior management
  • Good knowledge of post-trade compliance systems e.g. Charles River, Thinkfolio, Aladdin etc.
  • Advanced Excel, VBA and SQL knowledge