This role sits with a fast growing international Investment Management Company who are proactive in their approach to technological development and innovation.
Working in a team of four, you will gain exposure to the entire range of compliance activities across global locations.
Specifically your responsibilities will include:
- Manage the Compliance Monitoring program including Best Execution and Market Abuse monitoring via Bloomberg's Transaction Cost Analysis tool (BTCA), non-trade monitoring, appropriate updates / enhancements via risk-based approach and appropriate escalation to the CCO of raised flags / issues
- Pre and Post Trade Monitoring as well as coding.
- The role manages the key day-to-day operational compliance tasks including PA Dealing reviews & approvals, gifts approval and restricted list review, approval and maintenance
- Coding investment guideline restrictions, particularly around new fund launches and as part of the annual review
- Ensure the proper and timely maintenance of the various compliance registers and logs including PA Dealing, Gifts, Conflicts, Breaches and Complaints
- Provide support or take the lead with key regulatory projects as and when assigned / required
- Provide support or take the lead with the development, maintenance, or update of Compliance related policies and procedures
To be considered for this job, you will have the following experience:
- Minimum 2 - 3 years relevant compliance experience within an investment manager
- Past experience of using Bloomberg's Transaction Cost Analysis tool (BTCA) (or similar TCA tool) to conduct monitoring and testing. Ability to understand this data in order to raise and challenge potential areas of concern
- Experience of coding investment guidelines and restrictions
- Ability to code rules are a distinct advantage.
- Strong excel knowledge
- Knowledge and understanding of front and back office systems and how data flows between the two
- Knowledge and understanding of UCITS, AiFMD, MAR and general FCA rules
- Good stakeholder management skills and ability to interact with senior colleagues
If you feel you, or anyone you know, have the relevant experience for this newly created opportunity then please apply to this advert and send your CV to Lauren Stutz at Twenty Recruitment.
Twenty Recruitment's Compliance function are a team of specialist consultants covering Financial Crime Compliance and Regulatory Compliance mandates, both permanent and temporary, across Financial Services, Technology and Energy.