Compliance Consultant - Asset Management

TN United Kingdom; London; On-site; GBP 125,000 - 150,000; Full time

Job summary

An established industry player is seeking a Senior Compliance Consultant in London to support their compliance monitoring program and provide regulatory guidance. This role offers a unique opportunity to engage with a dynamic team in a leading asset management firm, where you will contribute to the development of compliance frameworks and training initiatives. The ideal candidate will possess a strong understanding of EMEA regulations and investment management products, along with excellent analytical and communication skills. Join a collaborative work culture that values flexibility and innovation, and make a meaningful impact in the financial services sector.

Qualifications

• Experience in advising and monitoring asset management business.
• Understanding of EMEA regulations and investment management products.

Responsibilities

• Support compliance monitoring program and provide regulatory advice.
• Assist in developing risk and compliance frameworks and training programs.

Skills

Advising asset management business

Knowledge of EMEA regulations

Cross-border regulatory frameworks

Understanding of investment management products

Analytical problem-solving

Excellent verbal communication

Excellent written communication

Organizational skills

Analytical skills

Job description

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Compliance Consultant - Asset Management, London

Client:

Northern Trust Corporation

Location:

London, United Kingdom

Job Category:

Consulting

EU work permit required:

Yes

Job Reference:

5158d5596c4d

Job Views:

53

Posted:

10.04.2025

Expiry Date:

25.05.2025

Job Description:

About Northern Trust:

Northern Trust, a Fortune 500 company, is a globally recognized, award-winning financial institution that has been in continuous operation since 1889.

Northern Trust is proud to provide innovative financial services and guidance to the world’s most successful individuals, families, and institutions by remaining true to our enduring principles of service, expertise, and integrity. With more than 130 years of financial experience and over 22,000 partners, we serve the world’s most sophisticated clients using leading technology and exceptional service.

About Northern Trust Asset Management

Northern Trust Asset Management (NTAM) is a global Investment Manager with $1.1 Trillion Assets Under Management, is a top 20 global asset manager, top 10 largest factor investor globally and the 12th largest Exchange Trading Funds (ETF) provider.

We believe investing ultimately serves a greater purpose and should be done intentionally and efficiently by people who are passionate, astute and tenacious problem solvers, with the understanding that all investing involves risk and is best accomplished by using an empirically based process.

At Northern Trust Asset Management, we understand that investing ultimately serves a greater purpose. That is why our philosophy is rooted in the fundamental belief that investors should get compensated for the risks they take – in all market environments and in any investment strategy. At the heart of our philosophy is how we think about, view and analyse risk. As risk-aware investors, we take risk intentionally, to achieve investors’ desired outcomes and minimize unintended consequences.

In EMEA, Northern Trust Asset Management serves professional investors and offers a wide range of investment management capabilities, across active and passive, equities, fixed income and cash management. This includes quant active, sustainable investing, multi-asset, liquidity focused solutions as well as more traditional index management. Capabilities are available through both pooled funds and segregated accounts, with a focus on designing investment strategies to meet the specific needs of investors. NTAM manages the largest European ESG fund and 5/10 largest ESG index funds globally.

Role/ Department:

The role is for a Senior Compliance Consultant, based in London. The individual will work within a regional Compliance team operating in a successful international Asset Management business. The role is engaging, hands-on and offers excellent exposure to someone looking to develop their career in an asset management-based compliance role. The role will provide support to the wider team’s activities, with emphasis on supporting the team’s monitoring program. The individual may be asked to support the wider compliance team as necessary and act as a partner to both Compliance team members and managers and staff in the business units.

The key responsibilities of the role include:

• Support and further develop the function’s front office compliance monitoring program, including: conduct monitoring, trading practices (surveillance), best execution monitoring and MiFIR reporting.
• Provide support to conflicts of Interest Management e.g. code of ethics, personal account dealing, gifts and entertainment.
• Provide timely and accurate regulatory and compliance advice to business partners.
• Assist in the development and maintenance of risk and compliance frameworks and related policies and procedures.
• Develop and implement training programs with subject matter experts.
• Analyse and provide technical research and consultation to support risk and compliance programs and initiatives.
• Providing ad-hoc project support as required.
• Support senior members of the department in the identification, planning and execution of the department’s activities.
• Provide back up support to the wider compliance team as and when required, e.g. review of marketing materials, monitoring activity.
• Attendance and reporting to relevant committees, boards, working groups and forums.

Skills/ Qualifications:

The successful candidate will benefit from having:

• Experience in advising and/or monitoring of asset management business.
• Working knowledge of EMEA regulations.
• Exposure to cross-border regulatory frameworks and rules.
• Understanding of investment management products and services and knowledge of securities, cash and derivatives market instruments.
• Analytical ability to identify and understand problems and provide effective collaborative solutions.
• Highly motivated individual who has a proven record of using initiative to resolve problems.
• Excellent verbal and written communication skills.
• Excellent organisational and analytical skills.

Working with Us:

As a Northern Trust partner, greater achievements await. You will be part of a flexible and collaborative work culture in an organization where financial strength and stability is an asset that emboldens us to explore new ideas. Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company committed to assisting the communities we serve! Join a workplace with a greater purpose.

We’d love to learn more about how your interests and experience could be a fit with one of the world’s most admired and sustainable companies! Build your career with us and apply today. #MadeForGreater

Reasonable accommodation:

Northern Trust is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation for any part of the employment process, please email our HR Service Center at .

We hope you’re excited about the role and the opportunity to work with us. We value an inclusive workplace and understand flexibility means different things to different people.

Apply today and talk to us about your flexible working requirements and together we can achieve greater.