Guideline Monitoring Compliance Officer
Salary £65000 - £75000 per annum + Bonus + Benefits
Consultant Peter Jecks
Date posted 05 September 2016
One of the leading investment managers in London is looking to hire a Guideline Monitoring Compliance Officer to assist in the analysis and reviews of pre and post trade incidents across all funds and product ranges. The Guideline Monitoring Compliance Officer will be expected to not only review alerts but also assist with the manual rule coding duties via the compliance systems.
The Guideline Monitoring Compliance Officer will be expected to not only review alerts but also assist with the manual rule coding duties via the compliance systems.
You will be required to:
- Allocate and monitor all post trade incidents.
- Assist Fund Manager with pre-trade queries
- Analyse and investigate post trade incidents and determine breach category
- Complete periodic rule tests and work with IT to automate rules
You will have the following experience:
- Financial Services industry knowledge and expertise in a guideline monitoring role
- Experience of using an mainstream trading platform
- Strong Product knowledge across Equity, Fixed Income and Commodities
- Knowledge of UCITS and AIFMD regulatory rules
This is a great opportunity to join an expanding and developing team and develop your knowledge across the guideline monitoring responsibility. You will have access to senior stakeholders and be at the forefront of dealing with Fund Managers queries.
Please contract Joseph Guilfoyle for more information on 0207 509 8865 or firstname.lastname@example.org.
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