Compliance, Guideline Monitoring
Salary £40,000 - £60,000 per annum
Consultant Megan Craighead
Date posted 07 January 2019 2019-01-072019-03-08 financial-services London London GB GBP 40000 60000 60000 YEAR Robert Walters https://www.robertwalters.co.uk https://www.robertwalters.co.uk/content/dam/robert-walters/global/images/logos/web-logos/logo.gif
This is an exciting opportunity to join a globally recognized asset manager in their City based offices. You will be part of a small compliance team and report directly into the Head of Compliance. You will assist in all compliance matters with a particular emphasis on the compliance monitoring piece.
- Daily compliance monitoring through 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, website review, order management systems user access rights review, Bloomberg chat monitoring, etc.
- 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.
- Administration of staff personal account dealing, gifts and entertainment and outside business interests dealing requests and associated staff certifications.
- Proven background in Compliance monitoring
- 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.