VP, Compliance Advisory

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