Front Office Compliance Advisory

  • £100,000
  • London, England, United Kingdom London England GB
  • Permanent, Full time
  • Aston Carter Ltd
  • 21 Apr 18 2018-04-21

The role is to be the main point of contact for the Investments business within a major UK based bank. Owning relationships with senior front office stakeholders up to and including managing director, for all high risk and high profile compliance/legal queries. Perfect position for a 2-4 year PQE Lawyer looking to move into an in house role with significant opportunities to develop personally and own whole business areas.

Key responsiblilities will involve co-leading the advisory alongside the head of compliance, to the entire investments business across several brands within the group. Alongside this, you will act as a lead for AVP and junior VP level compliance colleagues based in London and across the UK, being the point of contact for escalations on high profile or high risk queries.

Day to day, will see you building strong relationships across the business with senior stakeholders and looking to partner with them to generate a compliance friendly culture that enables business.


- Either 2/3 years PQE in financial regulation team in a top law firm, or a minimum of 5 years of experience in a compliance advisory position in a top Investment/Asset Manager, or 2/3 years

- Strong knowledge of the Investments business and the ability to partner with very senior individuals succesfully

- Risk Management mindset and proven experience applying regulatory & risk principles to practical finance situations on a daily basis

- Gravitas to succesfully operate as a deputy head of investment advisory compliance