Compliance Analyst – Front Office recruitment
Dimensional is an independently-owned company whose primary business is investment management. This gives the firm flexibility to address clients’ investment needs in creative and powerful ways. Dimensional was founded in 1981 on a set of ideas that revolutionised financial economics: it is possible to add value without trying to pick stocks or bonds or outguess the market. In markets where securities are freely traded, their prices are almost always fairly valued which provides an opportunity for investors to benefit from the natural relationship that exists between risk and return. By systematically focusing on the dimensions of risk that are worth taking—and avoiding those that are not—Dimensional’s strategies are designed to deliver higher expected returns. Implementation is critical. Keeping costs low will increase net returns. Value can be added through the use of cutting-edge portfolio management and trading techniques.
Position:
This position will provide evaluation, development, maintenance and oversight of regulatory compliance programs within front office for the Compliance department. They will advise and monitor front office trading and portfolio management with close liaison to the Global Compliance team.
Responsibilities:
- Provide pre- post- trade compliance support to Portfolio Management and Trading staff.
- Extract investment guidelines from prospectuses, investment management agreements, and other contractual constituent documents.
- Assist with the general administration of Charles River, including rule creation, testing, and production enhancements.
- Research post trade exceptions and escalate to front office staff when necessary.
- Participate in the design, refinement and execution of internal controls and corporate compliance procedures
- Surveillance and forensic testing of the front office compliance program
- Derivative exposure monitoring
- Monitor soft dollar allocations
- Transaction reporting
- Takeover Panel
Qualifications:
- 5+ years front office asset management experience with a broker or investment manager
- Well-developed computer skills; intermediate to expert use of MS Office is a must
- Self-motivated individual who has high standards for accuracy
- Work well independently and as part of a team
- Exceptional written and verbal communication skills
- Great interpersonal and time management skills
- Previous experience with a trade compliance and/or order management system is a plus
- FSA registered a plus
- Bachelor's degree in Finance, Accounting, Economics and/or equivalent work experience
Due to the number of applications we receive, we will only be able to respond to successful applicants.
Dimensional is committed to equal opportunities for all employees and job applicants. Employment with Dimensional is conditional upon evidence of your entitlement to work in the United Kingdom and successful completion of the Company’s background checking process.