Principal Compliance Consultant (UCITS)

Elliott James Consulting Limited
London (Greater)
09 Nov 2017
16 Nov 2017
Contract Type
Full Time

Principal Compliance Consultant (UCITS) - London - £60,000 - £70,000

Elliott James Consulting have an exciting opportunity for a Compliance Consultant (UCITS) to work with a highly regarded client of ours based in the city.

The successful candidate should be a UCITS expert and therefore it is expected that in time they will become the UCITS technical lead operating with a specific focus in the area.

The duties of the role entail:

The successful candidate will be responsible for their own portfolio of clients and assisting/advising them in all regulatory matters regarding their business, including all aspects revelant to UCITS. Specifically, this could include, but not limited to:

  • Undertaking compliance reviews, assessments and presenting recommendations to Compliance Officers, compliance staff and senior management
  • Providing commercially sound regulatory solutions and advising senior management of a wide range of regulated clients
  • Conducting research, writing articles, and/or making internal or client presentations on UCITS compliance specific issues
  • Keeping up to date with current regulatory developments and informing clients as necessary


  • The successful candidate is likely to be professionally educated and/or a compliance practitioner with proven, in-depth technical knowledge in the UCTIS sector
  • Strong academic background (i.e. degree level or recognized professional qualification), in addition to the CFA Investment Management Certificate - Units 1 and 2 (or equivalent)
  • Sound working knowledge of the Financial Services and Markets Act 2000, the Markets in Financial Instruments Directives, the Undertaking for Collective Investment in Transferable Securities Directives, and related FCA rules and guidance
  • 5 years plus relevant experience.

Principal Compliance Consultant (UCITS) - London - £60,000 - £70,000

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