Institutional Compliance Associate
An instantly recognisable asset manager , based in the heart of the City of London and managing in excess of £50 billion in assets . This role will be a core part of the institutional asset management compliance team
Key Responsibilities
Guideline monitoring of Charles River alerts and warnings
Resolution of any pre-trade alerts and warnings
Undertake statutory notifications.· Daily, monthly and periodic monitoring
Breach resolution· Maintenance of the Embargoed Securities List
Undertake periodic reviews of adherence to compliance regulations and internal procedures for various areas of the business
Represent compliance interests in projects and working groups.
Provide advice and guidance to the business on relevant regulatory issues
Provide cover and assistance for other team members as necessary
Deal with ad hoc queries
To demonstrate awareness of TCF in relation to compliance related matters.· Liaison with fund Trustees and Depositary’s as necessary
Skills Qualifications Required·
Previous experience of working in an asset management function is essential
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