VP, Compliance Advisory

OCR Alpha; London; On-site; GBP 100,000 - 160,000; Full time

Job summary

A leading asset management firm is seeking a VP of Compliance Advisory to lead their compliance framework. This role entails providing advisory support for investment teams and ensuring adherence to evolving regulatory standards. Ideal candidates will have extensive compliance experience, a collaborative mindset, and strong communication skills.

Qualifications

• Minimum of 8 years' compliance experience in a buy-side investment firm required.
• Strong knowledge of UK regulatory requirements (FCA) and exposure to SEC, ESMA is beneficial.
• Proven ability to interpret regulation practically.

Responsibilities

• Develop and enhance the Compliance Advisory framework.
• Serve as the first line of advisory support for Equities and Fixed Income teams.
• Maintain compliance-related policies and procedures.

Skills

Compliance knowledge

Communication

Regulatory awareness

Collaboration

Problem-solving

Education

Relevant degree or qualification

Job description

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Base pay range

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Associate Director @ OCR Alpha | Hedge Fund Recruitment

VP, Compliance Advisory – Traditional Asset Management

About the Firm

Our client is a leading asset management firm with a strong global presence and a long-standing reputation for investment excellence. With decades of experience across both traditional and alternative asset classes, the firm is known for its high-conviction, research-led approach and its unwavering commitment to delivering long-term value to its clients.

The business fosters a culture of independent thinking, intellectual rigor, and a collaborative working environment. Employees are encouraged to take ownership, challenge ideas constructively, and contribute to the continuous evolution of the firm’s capabilities. With a strong emphasis on integrity, responsible investing, and a client-first philosophy, this is a firm that values both performance and purpose.

The Opportunity

This is a newly created position within the Compliance function, offering the opportunity to help shape and lead the Compliance Advisory framework. The VP will work closely with key stakeholders across the business, acting as the primary point of contact for compliance matters related to the Equities and Fixed Income investment teams. The role sits within a collegiate and high-performing compliance function with strong visibility across the firm.

Key Responsibilities

• Develop and enhance the Compliance Advisory framework to support the firm’s traditional asset management activities
• Serve as the first line of advisory support for the Equities and Fixed Income teams, providing timely and pragmatic guidance on regulatory and internal policy matters
• Draft, update, and maintain compliance-related policies and procedures in line with evolving regulatory expectations and business needs
• Monitor regulatory developments across the UK, EU, and US, assessing potential impact and implementing appropriate changes
• Liaise with internal stakeholders including Legal, Risk, Operations, and Investment teams to promote a strong compliance culture
• Support periodic compliance reporting, training, and thematic reviews

Key Requirements

• Minimum of 8 years’ compliance experience, ideally gained within a buy-side investment firm or global asset manager
• Strong working knowledge of UK regulatory requirements (FCA), with exposure to SEC, ESMA, and broader EU regulations highly beneficial
• Proven ability to interpret and apply regulation in a practical, business-minded way
• Excellent written and verbal communication skills, with confidence in engaging senior stakeholders
• Collaborative mindset and a proactive, solutions-oriented approach

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Finance

• Industries

  Investment Management

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