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.
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
