- To build a close working relationship with each of the business units to support Compliance matters as required.
- To work principally with the Head of Public Markets Compliance Advisory, and Deputy Head of Group Compliance, and other members of the Compliance Team - as required, to support the provision of Compliance advice.
- To track industry developments, for example best practices from trade associations and apply and roll these out within the Business.
- To assist with the provision of ad-hoc advice to the Public, and Private Markets Groups.
- To support ongoing surveillance of the activities of the Public Markets Group in relation to key regulatory processes, including: MAR surveillance, best execution, allocations, sanctions lists, shareholding disclosures and filings, position limits, exceptions reporting, and maintenance of IT systems to manage these.
- To support the management of engagement with approved expert networks.
- To assist with the management of incoming market soundings.
- To assist with the management of trade restrictions.
- To assist with the management of Compliance workflows and the integration of a new reg tech system.
- To manage the addition and removal of entries to Worldcheck and to investigate daily flags.
- To assist with the management of external KYC requests.
- To assist with updating and drafting policies, procedures and the Compliance Manual,.
- To support engagement with the Operational Due Diligence Team on visits and reviews of external managers and key suppliers.
- To assist with the maintenance of records relating to the Senior Management and Certification Regime.
- To assist with the delivery of new joiner Compliance training.
- Must have Investment Management experience
- Thorough knowledge of the UK regulatory framework.
- Willingness to develop relationships at all levels in delivering pragmatic and proportionate compliance support, monitoring and training solutions
- A good understanding of public market asset classes; including equity, credit, fixed income, derivatives and alternative investments.
- Demonstrable experience of Public Markets Compliance.
- Demonstrable experience of dealing with the regulatory change agenda, and in particular impact of Public Markets.
- Working knowledge of Bloomberg and FundApps or other equivalent systems for monitoring Public Markets compliance.
- Familiarity with Private Markets Compliance.
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Compliance Advisory Officer - London Area, United Kingdom - Compliance Professionals
Description
THE COMPANY:
Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice.
THE RESPONSIBILITIES:
EXPERIENCE REQUIRED:
For further information please contact Spencer Evans
