Front Office Controller
Front Office Controller – Compliance Surveillance
A Mid-Tier Asset Management firm is searching for an experienced Compliance professional to support the Chief Investment Officer with all front-office focussed regulatory activities.
You will help to ensure that the fund management team operates within the remit of client mandates and in accordance with FCA regulation.
This role will be particularly well suited to people who enjoy engaging with the wider business – good communicators who are able to effectively represent compliance and work closely with the fund managers.
Key responsibilities will include:
- Take the lead on trade surveillance, market abuse monitoring and transaction cost analysis. Identify and investigate anomalies and discuss with relevant team members as required.
- Provide assistance in the identification and management of front office conflicts.
- Act as the initial point of contact with Compliance for day to day monitoring queries and periodic reviews
- Work with compliance and other relevant parties to review and analyse the impact of forthcoming regulatory changes. Assist with the periodic review and updating of policies and procedures affecting front office functions
- Assist with the coordination of internal audit reviews of front office functions
- Assist with the preparation of analysis in advance of meetings including the Investment Committee, Fair Value Pricing Committee and Business Risk Committee.
- Represent or assist the CIO in internal and external working groups, when appropriate
This position is a fantastic opportunity for an individual with prior monitoring and surveillance experience to take the step into a role that will provide you with a huge amount of autonomy. The role will offer lots of personal development, with the opportunity to get involved in business-wide projects and to influence company policy and procedure.
At least 1 year’s experience working at an investment management firm, asset management firm or hedge fund is required.
For more information, please contact Katy Quicke at Hays on 020 3465 0110
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