Portfolio Compliance Monitoring Analyst
One of the leading Global Fund Managers, requires an experience compliance specialist with experience gained within Portfolio Monitoring. The role sits as part of the wider investment compliance team and will monitor trades and transactions to ensure there are no mandate or regulatory breaches.
This role sits in a very dynamic team, that is growing steadily due to the increased requirements for more specific monitoring and increased investment in technology to enhance their monitoring capabilities. Your key responsibilities will include;
To support front office compliance trade monitoring programme
Obtain and filter relevant trading data/Compliance Reports from in-house trading systems and warehouses for daily compliance monitoring analysis
Review and investigate trading exceptions on a daily basis including best execution, timely and fair allocation, and timely execution for the UK Equity Trading desks
Maintain a database to record monitoring issues and to assist with management reporting, as required
Maintain the Trade Error database and ensure the trade error process works effectively
Assist with ad hoc compliance monitoring tasks, as required
For this role it is essential that you have a good understanding of UCITS requirements with previous and proven experience gained in a compliance, audit or trading support function (front, middle or back office). If you are not coming from a portfolio monitoring background it is essential that you have strong computer skills, and you will have experience in analysing and manipulating large sets of systems data. A good knowledge of equity markets and dealing environments is extremely desirable and it is expected that you will have a genuine interest in the investment process and trading
The company can offer exceptional development opportunities, both in terms of career development, training and professional development. To find out more please call Stephen Borner at hays on 02034650110.
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