Compliance Monitoring, Asset Management
Salary £40,000 - £60,000 per annum
Consultant Megan Craighead
Date posted 12 February 2019 2019-02-122019-03-08 financial-services London London GB GBP 40000 60000 60000 YEAR Robert Walters https://www.robertwalters.co.uk
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
- Familiarity with Charles River, Bloomberg AIM, or 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.