Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice.
THE RESPONSIBILITIES:
To build a close working relationship with each of the business units to support Compliance matters as required.
To work principally with the Head of Public Markets Compliance Advisory, and Deputy Head of Group Compliance, and other members of the Compliance Team – as required, to support the provision of Compliance advice.
To track industry developments, for example best practices from trade associations and apply and roll these out within the Business.
To assist with the provision of ad-hoc advice to the Public, and Private Markets Groups.
To support ongoing surveillance of the activities of the Public Markets Group in relation to key regulatory processes, including: MAR surveillance, best execution, allocations, sanctions lists, shareholding disclosures and filings, position limits, exceptions reporting, and maintenance of IT systems to manage these.
To support the management of engagement with approved expert networks.
To assist with the management of incoming market soundings.
To assist with the management of trade restrictions.
To assist with the management of Compliance workflows and the integration of a new reg tech system.
To manage the addition and removal of entries to Worldcheck and to investigate daily flags.
To assist with the management of external KYC requests.
To assist with updating and drafting policies, procedures and the Compliance Manual,.
To support engagement with the Operational Due Diligence Team on visits and reviews of external managers and key suppliers.
To assist with the maintenance of records relating to the Senior Management and Certification Regime.
To assist with the delivery of new joiner Compliance training.
EXPERIENCE REQUIRED:
𝖬𝗎𝗌𝗍 𝗁𝖺𝗏𝖾 𝖨𝗇𝗏𝖾𝗌𝗍𝗆𝖾𝗇𝗍 𝖬𝖺𝗇𝖺𝗀𝖾𝗆𝖾𝗇𝗍 𝖾𝗑𝗉𝖾𝗋𝗂𝖾𝗇𝖼𝖾
Thorough knowledge of the UK regulatory framework.
Willingness to develop relationships at all levels in delivering pragmatic and proportionate compliance support, monitoring and training solutions
A good understanding of public market asset classes; including equity, credit, fixed income, derivatives and alternative investments.
Demonstrable experience of Public Markets Compliance.
Demonstrable experience of dealing with the regulatory change agenda, and in particular impact of Public Markets.
Working knowledge of Bloomberg and FundApps or other equivalent systems for monitoring Public Markets compliance.
Familiarity with Private Markets Compliance.
For further information please contact Spencer Evans
