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Compliance Monitoring Advisor- Asset Management

Sector:
Legal & Compliance Jobs, Operations Jobs
Location:
London
Job Type:
Permanent
Salary Description:
£ Attractive + benefits
Posted:
06-Sep-19
Start Date:
Job Ref:
PB1822

City based US Asset Manager is looking to strengthen their Compliance team by appointing an additional member of staff.

The person recruited will support the operations of the Compliance Programs by daily monitoring of trade activities for specific equity and fixed income funds and accounts to ensure that their investment policy limitations are followed; communicating client, regulatory, prospectus, Board, and internal policies to portfolio managers and traders; educating portfolio managers and traders on applicable fund/account guidelines and trading policies; and implementing effective mechanisms to provide timely reporting and monitoring of complex investment strategies, provide management with information on current trends and issues recognised during assignments and recommend plans for improvement and work with the team to ensure ongoing partnership with local and global regulators and support regulatory change projects.

Applicants for this exciting opportunity will be degree educated and offer at least 3-5 years compliance monitoring experience gained specifically in the asset management / investment management sector to include experience working with Fixed Income, Equity and FX Funds/securities as it relates to compliance. This role will suit an individual who has a willingness to engage in other areas of Compliance beyond Monitoring as well as a strong ability to know ones audience and articulate accordingly.

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