Investment Compliance Officer
Salary £40,000 - £60,000 per annum
Consultant Peter Jecks
Date posted 23 May 201811 Slingsby Place, St Martin's Courtyard London, WC2E 9AB Robert Walters United Kingdom
A terrific opportunity to join a Global Asset Manager in a very broad and wide-ranging role as an Investment Compliance Manager. This position offers an opportunity to liaise and collaborate with Portfolio Managers and assist with Regulatory Compliance.
One of the leading Asset Managers based in London are looking for a Senior Investment Compliance Officer. This role will provide broad exposure across a variety of areas such as on-boarding, monitoring and regulatory guidelines, whilst working with front office as well as multiple business units to ensure compliance in all areas.
This role will give extremely wide exposure to a variety of business groups and allow interaction with Portfolio Management, Trading and Legal and Compliance on a daily basis. It will also present you with the opportunity to work on a variety regulatory regimes across global jurisdictions.
Key responsibilities include:
- Ad-hoc Compliance Advisory
- Pre- trade violation and investment restriction overrides
- Looking into post trade violation and investment resolutions
- Oversight of outsourced monitoring and testing
- Assisting with new account on boarding responsibilities
- Identify and report on any coding issues
- Maintain and update legal and compliance restricted lists
- Looking into and developing process and system enhancements
You will have:
- Strong Communication Skills
- Ability to work to set deadlines and manage workloads
- Analytical approach and attention to detail
- Pro active approach to resolving issues and compromising between conflicting requirements
If this role is of interest to you please get in touch with Peter Jecks on 0207 509 8064 or email@example.com.