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Senior Analyst Portfolio Compliance Mar

3 months ago

London, Greater London, United Kingdom eFinancialCareers Full time

As part of the growing international first line of defence department, this role will undertake daily portfolio compliance and market abuse (MAR) monitoring activities, supporting the global operating model across the Investments Department.


Senior Analyst | Portfolio Compliance | MAR

  • Join our expanding London office in Kings Cross
  • Be part our growing Investment Compliance Team
  • SME for Market Abuse monitoring activities (MAR)
  • Expert in daily portfolio compliance with investments/securities

Your new team
Our Investment Compliance and Operational Risk Team (ICOR) is the First Line Risk Team that supports the Investments and Fund Services Groups, ensuring the global investment function can perform effectively
You will join with a particular focus on investment compliance, this role will undertake daily portfolio compliance and market abuse (MAR) monitoring activities, supporting the global operating model across the Investments Department

The team is currently growing across Compliance, Operational Risk, and Transactions Service, working with managers with over 15+ years in the space, supporting our Capital Markets and FICC portfolios.


Working with the different internal investment teams you will be:

  • Undertake trade surveillance and market abuse monitoring activities
  • Liaise with internal stakeholders across the Fund
  • Contribute to the design and development of electric and manual market abuse procedures
  • Work with our PMS, Aladdin, and other compliance tools ensuring portfolio compliance
  • Manage and create pre and post trade alerts
  • Review, update and investigate existing alerts
  • Ensure that investment mandates are appropriately drafted and authorised
  • Ensure compliance rules are appropriately coded and tested
  • Help with internal Personal Trading policy queries
  • Dealing with AML/KYC requirements
  • Analysing alerts for market abuse and contributing to detection and prevention of misconduct

You'll need

  • Senior level Analyst exposure in market regulations (MAR) & Portfolio Compliance
  • Indepth investment/securities knowledge, including derivatives
  • Previous experience with a portfolio trade monitoring system (Aladdin/Charles River)
  • Relevant degree or equivalent experience in investment compliance
  • Excellent analytical and organisational skills
  • Experience working in first line of defence, risk/compliance function
  • Familiar with working in financial services/investment environment

What next:

We encourage hybrid working and follow a blended model of both office and home working. We also offer flexible working where needed as there will be meetings with the global team on different occasions.