Investment Compliance Specialist
Responsibilities:
- Assist in the prevention, detection and resolution of investment issues and breaches for all funds and accounts (UCITS, Non UCITS, US RICs, Institutional mandates)
- Perform analysis on new rules and regulations and the impact on the business.
- Assist with the trade management monitoring programme for funds and accounts.
- Engage with Front Office IT support staff and compliance colleagues to develop reporting and system enhancements to ensure a best in class control environment is maintained.
- Maintain strong communications with staff in operational and control functions, e.g. Legal, Investment Operations and Risk.
- Review and enhance compliance policies and procedures to reflect current regulatory requirements and in line with business wide changes to processes and workflows.
- Keep abreast of key regulatory and legislative changes which may impact the business.
Experience and Qualifications:
- Must have Investment Compliance experience including working knowledge of investment compliance monitoring system(s).
- Experience in the asset management or investment banking industry.
- Relevant qualification(s) in areas such as accounting, business, risk or compliance.
- Working knowledge of UK and EU legislation.
- Exposure to and appreciation of the issues in the management of UCITS and other fund structures.
For a Private Confidential discussion please send your details through the link below
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