Senior Compliance Executive
Senior Compliance Executive – Leading Investment Management Firm, Mayfair
An exciting opportunity has arisen to join a leading global investment management firm, in a senior position reporting directly into the Head of Compliance.
The role will see you work closely alongside the fund managers, advising on the products and systems they use. The role sits within the front office environment, so has constant direct interaction with the Investment Teams.
Key responsibilities will include:
• Addressing day to day compliance issues relating to trading strategies and the application of technology related controls
• Assisting in responding to regulatory or client queries as needed and serve as a liaison between the front office and the compliance function
• Supporting the Fixed Income Investment professionals and advise on the products and systems they use
• Advising the Portfolio Managers on issues relating to distribution – both UK and cross-border
• Implementing compliance controls for institutional product lines on Bloomberg, Charles River, Aladdin and other management systems
• Participating strategic global projects
• Have regular interaction with the global compliance team and exposure to global projects
• Preparing documentation to support FSA/regulatory requirements
• Conduct research into trade issues as and when they arise to ensure all trading activities are in line with the compliance process
• Interfacing with clients as part of the Compliance team during due diligence meetings which includes face to face and remote meetings to explain the compliance aspects of our business with relation to the client accounts.
You will need:
• Compliance experience within another Asset Manager or Investment Manager, specifically with exposure to the front office environment, and ideally with direct Fixed Income knowledge
• Compliance experience within another Asset Manager or Investment Manager, specifically with direct exposure to the front office environment, and ideally with direct Fixed Income knowledge
For more information, please contact Katy Quicke at Hays on 020 3465 0110
Leave a Reply
You must be logged in to post a comment.