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    Compliance Advisory Officer - London, United Kingdom - Compliance Professionals

    Compliance Professionals
    Compliance Professionals London, United Kingdom

    2 weeks ago

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    Description

    Job 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:

    • 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.

    EXPERIENCE REQUIRED:

    • 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.

    For further information please contact Spencer Evans

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