Intellectual curiosity and a strong learning capability are essential to success in this role, which offers the opportunity to develop your career within compliance whilst applying and further advancing your fluency with new and familiar systems, as the team redesigns and automates their processes. The role will enable you to develop a deep knowledge of wholesale trading, in a highly sophisticated working environment.
Carrying out compliance monitoring programme of policies and procedures on a quarterly basis.
Monitoring: Investment decisions and constraints set out in client IMA's and Prospectuses and where applicable UCITs requirements. Best Execution Alerts and Market Abuse Alerts via the Firm Transaction Cost Analysis System and escalating issues to the Compliance Officer
Maintaining Firm compliance timetable
Liaising and responding to requests with the Depositary and Regulatory Authorities when required.
Assisting with AML/TFC monitoring and due diligence.
Assisting with the maintenance of the Firms Risk Control Matrix.
Daily reporting of investment restrictions
Assisting Compliance Officer with on-line filings to regulatory authorities and other ad hoc reporting requirements.
Experience of working within a regulatory risk and compliance function of an FCA authorised organisation, preferably within a "buy side" Firm.
Understanding UCITS, AML/CFT law requirements.
Keeping up to date with and understanding relevant laws and regulations.
Proactive with the ability to problem solve and use own initiative
Strong computer skills including Excel
Knowledge of financial data databases such as Bloomberg and Factset
Strong product knowledge
Expert client facing skills and customer service
Monitoring Experience of Investment Restrictions, Best Execution and Market Abuse Required.
Internal Number: 9475963
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