Compliance VP – Threshold Reporting recruitment
The team is responsible for implementing controls and processes to ensure compliance with regulations related to trading and investments, including pre- and post-trade compliance, mutual fund monitoring and reporting; global syndicate offering review; ERISA monitoring, and regulatory threshold monitoring and reporting.
This group performs one of the core functions within the company and requires strong communication skills and analytical approach.
Duties will include:
• Identifying and reporting holdings that have reached or approaching prescribed thresholds
• Making necessary disclosures in an accurate and timely manner
• Communicating internally externally with Regulators, TOP, external firms and lawyers
• Keeping up to date with regulatory change and developments
• Supporting and leading colleagues
• Looking at ways to improve processes, controls, procedures and systems
• General assistance with related tasks and projects as required
• The successful candidate will have previous experience working within a similar role within and FSA regulated asset manager and have demonstrable experience of pre post trade monitoring, threshold reporting and filing of disclosures.
Knowledge/Experience:
• Experience of regulatory shareholding disclosures preferable
• Experience of working in the investment management industry and of investment products
• Requires strong communication skills and analytical approach