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Risk and Compliance Analyst
4 months ago
About the Company
Below covers everything you need to know about what this opportunity entails, as well as what is expected from applicants.Pinnacle Investment Management Group Limited (ASX:PNI) is a leading Australian headquartered multi-affiliate investment management firm. Our mission is to establish, grow and support a diverse stable of world-class investment management firms.
Pinnacle currently consists of sixteen investment management firms that collectively manage over £52 billion in assets across a diverse range of asset classes. Our affiliated managers operate autonomously, in line with our philosophy that 'supported independence' is an essential ingredient in sustaining investment excellence and business resilience over the long term.
The Role
Due to significant growth of the business and ever-increasing expectations of regulators and clients, we are expanding our Risk & Compliance team. Lead by the Chief Risk & Compliance Officer, Pinnacle's Risk & Compliance team is responsible for the delivery and continual improvement of the governance, risk & compliance (GRC) framework across the Group, including Pinnacle Investment Management (UK) Limited and the provision of GRC services to Pinnacle's Affiliate Investment Managers.
Key Responsibilities
- Daily Monitoring of pre and post trade investment compliance rules;
- Assisting in implementing and reviewing investment compliance rules and regulations;
- Initiate enhancements to improve compliance framework efficiency;
- Supporting the Compliance department in implementing the Compliance Monitoring plan and performing monitoring in various areas including best execution and market abuse;
- Support compliance reviews and approvals for financial promotions and marketing materials;
- Collaborate with other members of the compliance team on policies, procedures and compliance issues;
- Collaborate with cross-functional teams and affiliates to ensure that compliance processes are effectively integrated into business processes;
- Assisting with Board, Committee and Management reporting as required; and
- Carrying out additional duties as assigned including ad hoc product involvement as the need arises.
Desired Skills and Experience:
To be considered for this opportunity we require the below, or else a proven track record will be considered where one or more of the below is missing:
- 2+ years' experience in financial services regulatory or investment compliance;
- Knowledge of UK financial services laws and regulations and their application in funds management businesses;
- Strong knowledge of financial instruments e.g. equities, fixed income and derivatives;
- Proactive, entrepreneurial and think outside of the box attitude;
- Exemplary integrity, ethics, professionalism and resilience;
- Effective and persuasive oral and written communication skills;
- Aptitude to to streamline and simplify processes; and
- System knowledge of Eze and Bloomberg AIM would be highly regarded.
You must be a UK citizen to be considered for this opportunity.
