Front Office Monitoring Officer Asset Management recruitment
The successful candidate will work closely with all members of the Risk and Trading Compliance and Legal Regulatory teams. More specifically they will be responsible for:
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Working with the head of the team to provide qualitative and quantitative trading compliance advice and support most particularly to the investment management businesses of the Group.
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Developing and maintaining accurate and organized compliance documentation and records. This includes revision of policies and procedures most particularly for the investment management businesses.
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Executing a robust Compliance Monitoring Programme (CMP) in the investment management businesses but also assisting in developing, enhancing and improving the effectiveness of the CMP across all Group businesses.
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Identify potential areas of compliance vulnerability and thus develop and implement corrective action policies and plans to mitigate these risks.
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Working on new product initiatives and other important business projects providing timely advice on compliance matters.
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Providing input where required on compliance matters to relevant business, strategy and product committees, most particularly for the investment management business. Ensuring that trading regulatory issues are properly escalated within the department.
- Managing trading, exchange, and regulatory circulars and ensuring they are appropriately distributed and actioned from a compliance perspective where required and applicable.
Requirements
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The successful candidate should have a thorough understanding of OTC products in the Fixed Income arena and a broader understanding of the major European/US derivative exchanges and clearing house rules across different product classes.
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The successful candidate must have at least 3 years experience in Compliance within the investment management environment a strong a desire to work at the forefront of a multi faceted business.
- A working knowledge of the FSA COB rules, Client Asset Rules, UK Market Abuse Code and recent UK and EU regulatory developments is important.
Essential Skills
- OTC trading experience, some exchange experience/ knowledge
- Current or Prior Asset Management background
- Fixed income exp - Swaps, swaptions, CDS, Repos, Bonds
- Key focus' - Market abuse surveillance, Transaction reporting, best execution, short selling, Chinese walls, disclosures, new products
- Understand- Compliance risk assessment, How to put a compliance monitoring programme in place
- Have an understanding of what the regulators / auditors will look for, to put effective precautions in place
To discuss please do get in touch..
