Our client is a global investment management business with offices based in the West End
Monitor investment activity to ensure compliance with client guidelines, regulatory rules, prospectuses, and policies and procedures both on an automated and manual basis.
Research potential violations and escalate as needed to resolve.
Work closely with Portfolio Management, Trading, and Operations to manage trade day alerts through BlackRock Solutions Aladdin application.
Prepare client certification and Board Reports as required.
Review changes to client guidelines and work with BlackRock Solutions to update Aladdin as needed.
Assist in on-boarding and compliance setup for new accounts as needed.
Respond to ad hoc requests regarding trading and fund information.
Assist with the delivery of the compliance monitoring programme
Provide regulatory advice and guidance to the business as required on existing regulations and changes to regulations, assisting with project and implementation plans as required.
Assist in providing documentation required for audit requests.
Participation and completion of assigned tasks for team projects and initiatives.
Experience working with an Asset Management, Investment Advisor, or similar, proven experience within a similar role in asset management;
Good knowledge of fixed income instruments (including derivatives), financial markets
Familiarity of applicable European Directives and Regulation, including but not limited to MiFID, MAR, AIFMD, GDPR, UCITS V and the Financial Conduct Authority’s Handbook;
Familiarity of federal securities laws applicable to investment advisers, including the Investment Company Act of 1940 and the Investment Advisers Act of 1940 and experience with other rules and regulations under the Securities Act of 1933
Excellent skills using MS Office, especially Excel and prior experience of Aladdin system advantageous.