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    Compliance Analyst - Greater London, United Kingdom - eSecLending

    eSecLending
    eSecLending Greater London, United Kingdom

    19 hours ago

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    Description

    JOB DESCRIPTION:

    The Compliance Analyst is primarily responsible for implementing and monitoring the contractual and regulatory requirements of the various lender programs as they relate to securities lending and short-term investment management activities. This role assists with various compliance testing and requires attention to detail. The Compliance Analyst is a primary liaison internally for compliance-related inquiries.

    JOB RESPONSIBILITIES:

    • Updates pre-trade compliance system for securities lending and short-term investment management programs as required following established internal Program Change protocols.
    • Daily monitoring and reporting of Lenders contractual and regulatory securities lending parameters.
    • Confirm daily that short-term investments are in compliance with client investment guidelines.
    • Review of cash and non-cash collateral to confirm there is sufficient collateral.
    • Daily compliance review of discretionary securities lending activity.
    • Escalate non-compliant situations internally for appropriate escalation.
    • Follow-up and assist with the resolution of non-compliant situations to ensure that appropriate corrective action is taken.
    • Maintain and distribute a Monthly Compliance reporting.
    • Partner with the Client Relations team on annual comprehensive review of Lender programs.
    • Assist with business improvements and automation projects as needed.
    • Assist with compliance monitoring required by the Financial Conduct Authority (FCA)

    QUALIFICATIONS: At least two years of experience developing and/or testing compliance programs for clients in the financial services industry a plus. Candidates must be detail-oriented, have excellent oral and written communication skills, be capable of managing multiple projects simultaneously, work well under tight deadlines, possess good problem-solving skills, take a proactive approach to their personal development and be open to feedback. Candidates should have previous experience and/or proficiency in financial markets. Advanced Excel skills and prior use of Bloomberg a plus.

    eSecLending is an equal opportunity employer. Please submit resumes with a cover letter, including salary requirements, to: Please, no agencies.

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