Compliance Advisory

Job Description:

Our client, a global financial services firm, are seeking a Compliance Advisory Associate to join their team on an initial 12 month contract.

• Skilled in communication, problem solving / analytical, high attention to detail, and effective writing / presentation skills.

• Advising on matters involving Material Non-Public Information (MNPI) and the application of company information barrier policy.


• Working with global counterparts in the US and APAC to ensure a level of consistency globally, leveraging best practice wherever possible.


• Preparation and delivery of management information, reports and presentations to department and business unit management, management company boards and regulatory bodies as required.


• Liaising with portfolio managers, dealers and other investment staff on regulatory matters including, cross trades, error correction, fair allocation, best execution, short selling and conflicts of interest.


• Responsible for ensuring timely advice and support on compliance matters related to business projects and business strategy.


• Working on, and leading where required, specified compliance projects and initiatives, in connection with the interpretation and implementation of new regulation.


• Delivering periodic compliance training to our businesses on matters including but not limited to market abuse, information barriers, best execution, and conflicts of interest.

Core-Asset Consulting is an equal opportunities recruiter and we welcome applications from everyone irrespective of age, disability, gender, gender identity or expression, race, colour, ethnic or national origin, sexual orientation, religion or belief, marital/civil partner status or pregnancy.

Job reference: 15947

To apply for this vacancy applicants must be eligible to work in the UK in accordance with the Immigration, Asylum and Nationality Act 2006.

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Core-Asset Consulting offers specialist recruitment services to asset management, accounting & finance, asset servicing, legal and the wider financial services sector in Scotland.

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