Compliance Assistant recruitment
The expectation is that this particular role will develop into the primary Compliance business partner to the Investment Management and Trading teams and will be the key point of contact for the business teams in relation to investment compliance activities.
- To build relationships between Compliance and the Investment Management and Trading teams
- Perform investment compliance monitoring, analysis and reporting utilizing the Bloomberg system and other firmwide IT systems
- Conduct reviews of investment management agreements to code investment guidelines in the Bloomberg system
- Encourage a positive and pro-active compliance culture within the company with a business supportive professional approach
- Assist the EMEA Compliance team with the compliance monitoring program and perform compliance monitoring and analysis as well as undertake appropriate reporting
- Assist the EMEA Compliance team to ensure that appropriate regulatory policies and procedures are in place and understood by business units
- Assist with EMEA Compliance team with the administration of the system for compliance with the Code of Ethics
- Provide management information to Head of Compliance/Deputy Head of Compliance in order to prepare Board reports
- Bring to the attention of senior management any areas where there is perceived regulatory risk and work with senior management to resolve issues
- Develop expertise on the company’s investment activities
- Act as backup support to other EMEA Compliance team members when necessary
Education/Experience
• Degree/higher qualification required
• General knowledge of the financial services industry would be beneficial
• Knowledge of Microsoft Office (Word, PowerPoint, Excel and Outlook) and internet applications
Knowledge/Skills
• Proactive team player with strong interpersonal skills
• Good organizational and analytical skills combined with innovative thinking
• Ability to interrogate systems to obtain information and run reports
• Strong communication skills
• Ability to work under pressure, meet tight deadlines and be adaptable to change