Our client, a leading global investment firm, is currently looking for an Intermediate Compliance Officer to join its Compliance team in London, UK.
The purpose of the role will be to own and oversee pre and post trade compliance monitoring, compliance certification preparation and the reporting of client guideline breach. The successful candidate will also assist other Compliance Officers in the monitoring of regulatory and legal requirements which can impact the firm's portfolio. Furthermore, you will be asked to provide ongoing support to the investment team to ensure compliance with the business' risk parameters.
This role will report into the firm's Head of Regulatory Affairs and Compliance in London, UK.
Key responsibilities for this position will include, but are not limited to:
Reviewing pre-trade order requests to ensure they comply with guidelines
Preparing a daily report of unresolved issues and providing assistance in the resolution of deviations for the investment team
Ensuring compliance with all relevant regulatory requirements for the business
Ongoing review of account to ensure compliance with client guidelines and any other relevant regulatory requirement
Spearheading assigned account guideline amendments
Reviewing manually guideline restrictions that cannot be coded to ensure portfolio compliance
Completing accounts' compliance certifications as needed
Ensuring that all relevant policies and procedures are being maintained
Identifying and implementing improvements of processes
Providing assistance in numerous investment client projects
2-5 years of experience in asset management, ideally within the compliance function
Ability to work in a fast-paced financial services environment, juggling different and changing priorities
Educated to degree level
A basic knowledge of fixed income, derivatives and UCITS
Salary: circa £60,000 plus great benefits
For more information about this position, please get in touch with Alexia Brodie Cooper.
Phone: 020 7183 0070
Reference Code: 11258
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