Compliance Executive – Post Trade – Thames Valley recruitment

Compliance Executive/Senior Compliance Executive - Post Trade Compliance - £DOE
A leading Investment Management house is currently seeking to hire a Post Trade Compliance expert to join their Henley based compliance team. The compliance executive will provide oversight and support to senior management on post trade compliance matters and business impact. Coming from an Accounting/Audit or Financial Services background the Compliance Executive will have extensive exposure to investment management and will be experience of working within a Post-Trade environment.

Key Responsibilities:
*Monitoring adherence with investment restrictions of mandates. Producing and reviewing daily exception reports. Coordinating the resolution of exceptions as appropriate with various business areas. Travel could be required to other offices
*Ongoing maintenance of the post trade restrictions coded into the Charles River system and JPM TRAC. Liaison, where applicable, with external service providers.
*Examining relevant rules changes and highlighting implications for the business with Senior Compliance Executives and the Director of European Compliance.
*Assisting the Director of European Compliance and other Senior Compliance Executives as and when required.
*Ensuring that the activities within the business are carried out in a systematic, orderly, correct, secure and economic fashion, and based on adequate organisation.
*Identifying and monitoring compliance risk areas of the business rules and to initiate corrective action for avoidance of future breaches.
*Undertaking ad hoc reviews and projects as determined by the Director of European Compliance and Senior Compliance Executive.

Experience, Knowledge and Qualifications required for Job:

Experience
*An accounting/audit or financial services background, preferably with 3-4 years exposure to the industry.
*Experience/understanding of investment restriction monitoring, including a good knowledge of COLL/COBs rules.

Knowledge
*A good understanding of the financial services sector;
*Understanding of post-trade compliance systems, including CRD/JPM Access a benefit;
*PC Literate.

Qualifications
*Professional examinations preferable

This is a fantastic opportunity for an experienced compliance executive with a background in Post Trade compliance to join one of the largest Investment Houses in the UK.