Investment Compliance Officer
Our client, a global Asset Manager renowned for its exceptionally high quality of service requires a senior Investment Compliance specialist to join their business. The firm are a specialist fund manger focus upon Fixed Income investment, who are based in the City of London.
This role is for a Senior Compliance Officer to have have oversight responsibility of the Investment Compliance Team who are responsible for pre and post trade monitoring. The role will require the successful candidate to not only monitor and flag exceptions and breeches, but also to code rules on to their software.
Your core responsibilities will include;
Post trade: Supervision of daily review of accounts to ensure compliance with client guidelines and any additional regulatory requirements. Where issues arise, to investigate these and liaise with relevant departments as appropriate to resolve.
Supervise, Pre-trading: Review order requests to ensure the proposed trade would not breach client guidelines.
Assist the business in negotiation of new and revised client guidelines.
Incorporate new or revised guidelines as notified by the client and ensuring all systems are properly updated.
Identify, investigate and report breaches and errors and implement safeguards to prevent further occurrences; Ability to communicate investment compliance issues clearly and work closely with stakeholders across the business to resolve compliance issues.
Completing compliance certifications for accounts as necessary.
Understanding and familiarity with issues relating to Dublin/Lux funds under UCITS and AIFMD regimes.
Manually reviewing guideline restrictions that cannot be coded into Charles River to ensure portfolio compliance.
Identify and implement process improvements, including issues relating to manual tests.
Experience required;
Relevant compliance experience gained within Asset/Fund Management
Good knowledge of fixed income, derivatives, UCITS
Good knowledge of Charles River and Excel; Bloomberg would be an advantage
Experience of facing off to the front office to resolve compliance issues.
The company offer an exceptional working environment, as well as a strong compliance culture within the front office. The firm are very compliance centric in their business strategy and invest heavily in to training and development for their staff.
To find out more please call Stephen Borner at hays on 02034650110.
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