Compliance Analyst

3 weeks ago

Greater London, United Kingdom eSecLending Full time

JOB DESCRIPTION:

The Compliance Analyst is primarily responsible for implementing and monitoring the contractual and regulatory requirements of the various lender programs as they relate to securities lending and short-term investment management activities. This role assists with various compliance testing and requires attention to detail. The Compliance Analyst is a primary liaison internally for compliance-related inquiries. 

 

JOB RESPONSIBILITIES:

  •  Updates pre-trade compliance system for securities lending and short-term investment management programs as required following established internal Program Change protocols. 
  • Daily monitoring and reporting of Lenders contractual and regulatory securities lending parameters.
  • Confirm daily that short-term investments are in compliance with client investment guidelines.
  • Review of cash and non-cash collateral to confirm there is sufficient collateral. 
  • Daily compliance review of discretionary securities lending activity.
  • Escalate non-compliant situations internally for appropriate escalation. 
  •  Follow-up and assist with the resolution of non-compliant situations to ensure that appropriate corrective action is taken.
  • Maintain and distribute a Monthly Compliance reporting.
  • Partner with the Client Relations team on annual comprehensive review of Lender programs.
  • Assist with business improvements and automation projects as needed. 
  •  Assist with compliance monitoring required by the Financial Conduct Authority (FCA)

 

QUALIFICATIONS: At least two years of experience developing and/or testing compliance programs for clients in the financial services industry a plus. Candidates must be detail-oriented, have excellent oral and written communication skills, be capable of managing multiple projects simultaneously, work well under tight deadlines, possess good problem-solving skills, take a proactive approach to their personal development and be open to feedback. Candidates should have previous experience and/or proficiency in financial markets. Advanced Excel skills and prior use of Bloomberg a plus. 

 

 

eSecLending is an equal opportunity employer.  Please submit resumes with a cover letter, including salary requirements, to: Please, no agencies.

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