Sales and Advertising Compliance Analyst
The Compliance Analyst will be responsible for assisting in the compliance reviews of mutual fund and SMA marketing material, coordinate and monitor FINRA filings, act as a liaison between marketing and legal/compliance, and ensure all regulatory comments are addressed. The qualified candidate will possess: * At least two years of of compliance experience * Strong knowledge of broker-dealer and investment advisor advertising rules * Excellent communication skills
Mutual Fund Attorney
As the Mutual Funds Attorney you will report into the Head Attorney of the Investment Group and be responsible for the following tasks:* Provide legal advice and support on issues relating to registered (open close-end) funds, index ETFs, model-based programs, and sub-advisory relationships with particular emphasis on contracts, distribution, product development, marketing, and sales practices. * Assist in preparation of materials for board meetings; attend board meetings and draft minutes. * Draft organizational documents, board actions, investment management agreements and service contracts. * Read more […]
Head of GBM Compliance Market Abuse Surveillance IT
Programme manager, project manager, actimize, redkite, wolters kluwer, surveillance, IT, stakeholder, investment banking, compliance systems, regulatory systems, sharepoint, My client is looking for a new head of compliance market abuse surveillance IT. The job holder will be either an IT programme manager or project manager and have experience implementing compliance and regulatory systems, more specifically Actimize. Knowledge of SharePoint is required as well as having an up to date knowledge of the compliance climate. The successful candidate will be responsible for the market abuse surveillance Read more […]
AML Associate (Support Analyst)
Job Duties:Timely and effective management of alerts to ensure potential suspicious activity is identifiedAppropriate assessment of potential watchlist matchesComplies with the�documented processes in the unit, which are designed to identify matches�to lists of names and organisations on official watchlists published by the Bank of England�and other regulators.Demonstration of sound decision making to ensure only appropriate payments are releasedEffective use of investigative tools including the Internet and selected intelligence sources to ensure an appropriate balance between volume output Read more […]
Legal Manager
A pivotal role, you will be responsible for performing a variety of moderately complex legal support activities, including assisting attorneys and more senior level staff with executing transactions, drafting contracts and performing legal research.Key requirements:Degree educated or equivalentBackground as a paralegal in the mutual fund/investment management industryExperience with UCITs and technical knowledge of distribution agreementsMason Blake acts as an employment agency for permanent recruitment and employment business for the supply of temporary workers. Mason Blake is an equal opportunities Read more […]
Group Compliance Manager
Oversight, compliance advice and monitoring. Covering all areas of the FSA Handbook and Joint Money Laundering Steering Group GuidanceRisk and compliance monitoring, review and sign off of financial promotions and record keepingSupporting the Money Laundering Reporting Officer (MLRO)Supporting the Training Competence regime including inductions, training and providing materials and procedural knowledge for the businessAssisting in the preparation of information required for the Executive Committee, Board meetings and audit committeeAd hoc projectsTo be considered for this role you will need Read more […]
Compliance Manager
My client a successful and leading household name Investment Manager is currently looking for an additional Compliance Manager to advise in relation to a range of products and services some of which are listed below:-· Index funds;· Active Fixed Income;· Active Equities;· Authorised finds – including unit trusts and OEICs;· Insurance funds;· Liability Driven Investments;· Central dealing.Reporting into the Chief Compliance Officer, the Compliance Manager will be responsible for pro-actively ensuring the highest standards of compliance within the business areas are met if not surpassed. Read more […]
Investment Guideline Monitoring
Main responsibilities of the role require daily, monthly and periodic monitoring of Charles River alerts and warnings.Successful candidates require; • Strong background in investment/asset management with a proven track record of portfolio/investment guideline monitoring. • Good experience of both pre and post trade portfolio monitoring • 5+ years experience with the Charles River system, or a comparable system (LZ Sentinel) • Strong mathematical background if system knowledge is absent • First-class management skills and the ability to work effectively within a team • Ability Read more […]
Portfolio Monitoring
A leading City based Fund Manager is looking to hire a Portfolio Monitoring Analyst to join a team that are responsible for trade analysis of managed fund positions to ensure their compliance against regulatory and internal guidelines. As a Portfolio Monitoring Analyst you will be responsible for –Portfolio Monitoring of all IMA/Regulatory and client guidelinesPortfolio Monitoring Reporting which includes escalation to Fund Managers and completion of distribution of breach reportsDesk reviews, meeting and amendments followed upMaintaining an open effective dialogue with Fund Managers, Front Office Read more […]
Compliance Officer (no2)
plan. You will play a key role in ensuring the business is updated in regards to and upcoming requirements from an FSA, Lloyds and European perspective, as well as, provide advice and guidance to the business and updating policy and procedure where necessary. Further, you will undertake monitoring to ensure compliance with all relevant regulatory requirements and best practice. In addition, you will assist in managing the firms regulatory relationship and be involved in all relevant internal committees. The right person for this role will have broad and generalist compliance or regulatory experience Read more […]