Job Description
Job description
Position: Compliance Associate (5-6 months temp)
THE COMPANY: Our client is a global asset manager, providing investment advice to institutional and individual investors around the world.
THE
RESPONSIBILITIES:
• Monitoring investment guidelines for UCITS funds/ segregated mandates using the Charles River system inc. reviews of investment guidelines / restrictions for new accounts/products.
• Review of pre and post trade daily exception reports for UCITS funds and segregated mandates.
• Liaising with Traders / Portfolio Managers and the Portfolio Implementation team with respect to general trading queries and trade approvals.
• Gatekeeper for market soundings and wall crossings.
• Assisting in the review and sign-off of RFPs and other financial promotions, aimed primarily at professional investors.
• Assisting with implementation of the compliance monitoring programme and conducting reviews, including but not limited to:
Best Execution/Fair Allocation Market Abuse, PA Dealing, Gifts & Business Entertainment, Trading Hub Market Abuse / Email Surveillance and Eligible Markets.
• Approving, monitoring and reconciliation of Personal Account Trading.
• Assisting the compliance team with the Quarterly and Annual Code of Ethics Certifications process.
• Maintaining various registers/logs such as Breaches & Errors etc.
• Assisting with the production of the firm’s daily Short Reporting and Monitoring compliance with Transparency Directive for large holdings. Submission of regulatory reports as required.
• Assisting the senior members of the team with submission of FCA Reg Data Returns.
• Assisting with the coordination and collation of information for FCA / other regulatory / audit requests for information.
• Responding to client and regulatory requests in respect of AML/KYC requirements.
• Providing generalist compliance support in all areas of the programme as directed by the Head of Compliance.
• Providing support in the review, updating and maintenance of the Firm’s compliance policies and procedures.
• Assisting the Head of Compliance with Management Information Reporting.
EXPERIENCE
REQUIRED:
• 2-5+ years demonstrable generalist compliance experience.
• Financial Services background essential / Asset management exposure preferable.
• General interest and exposure to Securities markets investment related issues and experience in asset management with an understanding of EU MiFID and UK Reg framework.
• Ability to work collegiately within a small, friendly team.
• Knowledge of UCITS or COLL (or Central Bank of Ireland), FCA Conduct of Business Rules, SYSC, desirable.
• Investment guideline monitoring using automated systems – knowledge of Charles River system or Bloomberg AIM or similar would be desirable.
For further information please contact Spencer Evans.
#J-18808-Ljbffr
Position: Compliance Associate (5-6 months temp)
THE COMPANY: Our client is a global asset manager, providing investment advice to institutional and individual investors around the world.
THE
RESPONSIBILITIES:
• Monitoring investment guidelines for UCITS funds/ segregated mandates using the Charles River system inc. reviews of investment guidelines / restrictions for new accounts/products.
• Review of pre and post trade daily exception reports for UCITS funds and segregated mandates.
• Liaising with Traders / Portfolio Managers and the Portfolio Implementation team with respect to general trading queries and trade approvals.
• Gatekeeper for market soundings and wall crossings.
• Assisting in the review and sign-off of RFPs and other financial promotions, aimed primarily at professional investors.
• Assisting with implementation of the compliance monitoring programme and conducting reviews, including but not limited to:
Best Execution/Fair Allocation Market Abuse, PA Dealing, Gifts & Business Entertainment, Trading Hub Market Abuse / Email Surveillance and Eligible Markets.
• Approving, monitoring and reconciliation of Personal Account Trading.
• Assisting the compliance team with the Quarterly and Annual Code of Ethics Certifications process.
• Maintaining various registers/logs such as Breaches & Errors etc.
• Assisting with the production of the firm’s daily Short Reporting and Monitoring compliance with Transparency Directive for large holdings. Submission of regulatory reports as required.
• Assisting the senior members of the team with submission of FCA Reg Data Returns.
• Assisting with the coordination and collation of information for FCA / other regulatory / audit requests for information.
• Responding to client and regulatory requests in respect of AML/KYC requirements.
• Providing generalist compliance support in all areas of the programme as directed by the Head of Compliance.
• Providing support in the review, updating and maintenance of the Firm’s compliance policies and procedures.
• Assisting the Head of Compliance with Management Information Reporting.
EXPERIENCE
REQUIRED:
• 2-5+ years demonstrable generalist compliance experience.
• Financial Services background essential / Asset management exposure preferable.
• General interest and exposure to Securities markets investment related issues and experience in asset management with an understanding of EU MiFID and UK Reg framework.
• Ability to work collegiately within a small, friendly team.
• Knowledge of UCITS or COLL (or Central Bank of Ireland), FCA Conduct of Business Rules, SYSC, desirable.
• Investment guideline monitoring using automated systems – knowledge of Charles River system or Bloomberg AIM or similar would be desirable.
For further information please contact Spencer Evans.
#J-18808-Ljbffr
💡 Quick Summary
Seeking a career-building opportunity? The Compliance Associate|temp position is now open for candidates interested in the Bank Jobs sector. This role in London offers a professional environment and growth potential.
Requirement Snapshot: Candidates should possess basic communication skills, a proactive attitude, and the ability to work in a team. Experience in Bank Jobs is a plus.
