Compliance Consultant

4 days ago

Edinburgh, United Kingdom Wilkinson & Associates Full time
Job Description

W&A is partnering with a global asset management organisation based in Edinburgh. They have an opportunity for a Compliance Consultant to join their finance function.

This role will provide assurance that trading activities on all asset classes comply with required regulations and policy requirements on market abuse, best execution, and conduct.

You will work closely with the compliance units to drive best practice in oversight of the investment management function.

This is an excellent opportunity for a self-starter with experience of compliance within the investment management industry to grow their skills and become a subject matter expert.

This role will operate on a hybrid basis.

Key Responsibilities:

  • Delivery and development of all of the firm’s investment area monitoring activity to ensure they continue to meet regulator and industry best practices
  • Analysis of trade rationales, trading activity and behavioural trading patterns to identify exceptions
  • Appropriate investigation of exceptions and escalation of issues
  • Act as liaison for the front office in logging/follow-up of all risk events in the system in accordance with policy
  • Maintain excellent standard of documentation with respect to all compliance activities to provide a clear audit trail
  • Maintain behaviours and act as an ambassador for risk culture
  • Perform some wider compliance tasks that may include compliance monitoring of the business, policy reviews / refreshes, facilitating and managing compliance training, production and submission of global compliance reports, global coordination of compliance projects etc

Experience & Skills:

  • 3 years relevant industry experience
  • Good knowledge of compliance function responsibilities within the asset management industry
  • Some working knowledge of MiFID II, MAR, and other relevant regulation
  • Some working knowledge of the different asset classes that asset management firms typically trade
  • Ideally some knowledge of trading systems, trade monitoring compliance systems but these are not required as full training will be provided
  • Strong written / oral communication skills and ability to interact confidently at all levels within the firm
  • Ability to form close working relationships across the business
  • Ability to work with and manage external vendors to ensure delivery and functionality enhancement
  • Positive attitude for self-development within the role with the aim to becoming the subject matter expert across the firm
  • Ability to manage responsibilities independently with minimal support where required

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