Our client is a leading international asset manager based in the City.
Supervision of the off-shore service provider checking the daily compliance exception monitoring reports generated from our portfolio management systems (Charles River, Bloomberg AIM and Apollo). Where required, investigate exceptions until resolution.
Completion of the compliance monitoring programme, including monthly transaction/market abuse monitoring monitoring, website review, order management systems user access rights review, Bloomberg chat monitoring, etc..
Assist with the Onboarding of clients.
Responding to client related enquiries raised by the Client Services team in a timely manner, identifying any potential issues and propose practical solutions.
Assist with system testing for new fund launches / system upgrades.
Prepare Approved Persons applications to the FCA and other regulatory returns, e.g. quarterly SEC Form 13F return.
Administration of staff personal account dealing, gifts and entertainment and outside business interests dealing requests and associated staff certifications.
Candidates must have at least two years Compliance monitoring experience (essential).
The selected candidate will be able to demonstrate a disciplined approach to their work, excellent attention to detail and be able to work on their own initiative but also as part of a team.
Experience of portfolio management systems such as Charles River, Bloomberg AIM, Apollo together with the technical ability to interpret and programme investment guidelines would be advantageous, although training will be provided.
Be approachable in the department and flexible in exposure to a variety of duties and deadlines.
Be able to communicate on all levels, verbally and in written communications/reports.
For further information please contact Ben Greasby