Compliance Consultant – UCITS – London – £50,000 – £90,000

Compliance Consultant – UCITS – London – £50,000 – £90,000

Vacancy Filter

Compliance Consultant – UCITS – London – £50,000 – £90,000 (2017/693)

  • Posted 2 years ago
  • £50,000 - £90,000
  • London
  • Consultant
  • Closing Date April 12, 2019

An exciting opportunity has arisen for a Compliance Consultant with UCITS experience, either at Consultant level (£50k-£60k), Principal Consultant (£60k-£70k) or Senior Principal Consultant (£70k-£90k) to work with a highly regarded client of mine with a large portfolio of high profile hedge funds, fund of funds, long-only managers, private equity and investment advisers.


The successful candidate will undertake an extremely varied and rewarding role becoming central to the client advisory team and managing a portfolio of clients. In addition, you will be the in-house UCITS expert and it will be expected that you will in time become the UCITS technical lead operating with a specific focus in this area. You are likely to have experience of working within a UCITS environment where you will have developed in-depth technical knowledge in the UCITS sector and a sound understanding of the applicable regulatory regime.


The duties of the role:

The successful candidate will be responsible for their own portfolio of clients and assisting/advising them in all regulatory matters pertaining to their business, including all aspects relevant to UCITS. Specifically, this could include, but is not limited to:

  • Undertaking compliance reviews, assessments and presenting recommendations to Compliance Officers, compliance staff and senior management
  • Providing commercially sound regulatory solutions and advice to the senior management of a wide range of entrepreneurial regulated clients
  • Managing or participating in regulatory projects, such as annual compliance audits or mock examinations
  • Conducting research, writing article and/or making internal or client presentations on UCITS compliance specific issues
  • Keeping up to date with current regulatory development and informing clients as necessary
  • Subject to client demand there is also the opportunity to work with US colleagues on US regulatory matters/projects (SEC/CFTC)

Skills and Profile

  • Entrepreneurial attitude, with a desire to help build and a business and help clients do the same
  • Highly motivated, dedicated to upholding my clients high quality standards and customer service focus
  • Professionally educated and/or a compliance practitioner with proven in-depth technical knowledge in the UCITS sector
  • Strong academic background (degree level or recognised professional qualification) in addition to the CFA Investment Management Certificated – Units 1 and 2 (or equivalent)

Sound working knowledge of the Financial Services and Markets Act 2000, the Markets in Financial Instruments Directives (MiFID), the Undertaking for Collective Investment in Transferable Securities Directives (UCITS) and related FCA rules and guidance

Apply for this job

“I’ve used EJC for a few years now. I always know what I’m getting with Peter and his team, whether it’s a senior or a junior hire. They are professional, friendly and have a fantastic network of contacts.”

- Head of Talent Acquisition, Long-Only Asset Manager

“As someone who has worked on in finance for many years, Ryan understands our business needs immediately, which is rare in recruitment. He doesn’t waste my time with unsuitable CV’s as he has a thorough pre-screening process that produces a focused list of great candidates. “

- Risk & Compliance MD, Long- Only Asset Manager

“A very professional outfit with an impressive client list and a real know-how in combining the right candidate with the right position. I would not hesitate to recommend EJC to anyone either looking for employment or looking to hire.”

- Candidate, Business Development Director

“I have had to deal with numerous agencies over the past few years – but coming across EJC has been a breath of fresh air. As a candidate I felt very well looked after and represented and within three weeks of first sending my CV to them I now find myself signing on the dotted line at a large CTA manager.”

- Candidate, Quant Analyst

“Recruitment in the alternative industry is phenomenally competitive – especially for junior hires and EJC really helped me kick-start my career. There are many preconceptions about hedge funds but they helped me understand the structures of the businesses and which roles would best suit my competencies. They were very professional, knowledgeable and provided me with valuable support throughout the recruitment process. I would highly recommend them as professional head-hunters.”

- Candidate, Graduate – Junior Sales

“Over the years I have used Peter’s recruitment services as a candidate and a client. I can say wholeheartedly that he excels in both. He’s a rare breed of recruiter as he actually listens to his clients and never makes a promise on which he can’t deliver. Peter represents many leading UK and European asset managers and I wouldn’t hesitate to recommend him to anyone thinking of a new role or indeed looking to source staff for a position.”

- Client & Candidate (Portfolio Manager)

“EJC are always be the first recruiter I use. They are a pleasure to work with, not least because EJC takes a genuine interest in my business and the qualities and character of the people I need to hire. I get good people through EJC because they find motivated people who want to do the job, not just move elsewhere for a pay rise. They are always on top of the process and are energetic in obtaining and analysing feedback.”

- MD, Investment Consultancy

“EJC helped us in sourcing some of our key investment professionals. Rather than dealing with the commission driven, one size fits all service of larger recruiters, we appreciated the tailored and focused approach provided by EJC. Their intimate knowledge of what the hedge business is about allowed them to target a small number of high quality individuals for each role. This left us confident that the short list provided were all possible hires for us, therefore saving us the time and money.”

- CFO, Newly launched HF