Front Office Compliance Analyst recruitment

Job Title:  Front Office Compliance Analyst

Duration: Maternity Cover – 9 months FTC

Remuneration: Market Rates

Location: London

Company Info:

Threadneedle Investments is a successful and growing company managing funds for pensions schemes, insurance companies, private investors, corporations and mutual funds. The business environment is dynamic and highly responsive to change. This creates a challenging and rewarding opportunity for individuals working within the organisation.

Job Purpose:

An opportunity has arisen within the compliance group for a compliance analyst contractor, who shall be based in London, to manage the delivery of compliance analysis to the investment divisions of the business, which are based in London. Reporting to the Manager of Front Office Investment Compliance, who is based in London, the successful candidate will join a team of 16 professionals within the Compliance team.

Job Responsibilities:

The candidate will focus on conflicts of interest transaction monitoring, analysing the trading of certain funds versus others using IT coded exception reports and interacting with fund managers and dealers accordingly.  The candidate may also assist with the monitoring of other trade execution activities, using a variety of other internal and external system tools, to ensure that investment is line FSA Conduct of Business (“COB”) requirements, namely Best Execution and Timely Execution, and that where possible issues are identified, these are escalated according to internal procedures.  The candidate will also lead and/or assist in the completion of other compliance monitoring activities relating to the investment business, in accordance with a risk based compliance monitoring plan.  These will consist of desk based and 'thematic' style monitoring reviews. 

Furthermore, within that team the candidate will assist with some on-going maintenance of Sentinel, a “leading edge” automated compliance monitoring system developed by a company called LatentZero.  In particular, the successful candidate will assist the coding of regulatory rules and the maintenance of regulatory control rule lists (e.g. insider lists) within the system which is supported in terms of day to day monitoring by the Risk Team.

Ideal Candidate:

• The successful candidate is likely to be educated to degree level and will possess a minimum of 3-5 years experience in a retail or institutional financial services company preferably with a good understanding of the investment management business. 

• Previous Compliance experience, within a Front Office environment in particular, would be beneficial as well as a good understanding of investments such as equities, bonds and derivatives. 

• The candidate will ideally have some familiarity with FSA regulations and be prepared to develop an understanding of key regulatory aspects within the Front Office Compliance team.

• Ideally the candidate will also possess regulatory analysis skills and be familiar with the regulatory consultation process in order to help support the Compliance department and the wider business in respect of analysis of regulatory development and regulatory changes.               

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