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Investment Compliance Specialist

2 months ago

London, Greater London, United Kingdom CityGrad Full time
Job Description

CityGrad is seeking a highly motivated and detail-oriented Investment Compliance Specialist to join our team in London. As a key member of our Investment Management department, you will play a crucial role in ensuring the accuracy and reporting of portfolio rules/restrictions for our Asset Management clients.

Key Responsibilities:
  • Internal/self-audit all compliance rules on a daily, monthly, and quarterly basis and document as such;
  • Respond to, and be responsible for, internal and external audit items as they pertain to compliance;
  • Document trade violations and confirm legitimacy/accuracy of violation-overrides;
  • Maintain compliance rules on in-house platforms;
  • Maintain compliance rules on trading platform (currently Bloomberg);
  • Identify, document, and maintain 'Strategy Portfolios' with Portfolio Managers based on investment guidelines and contracts;
  • Obtain, organize, and maintain historical documentation for tracking/auditing client investment guideline compliance rules;
  • Maintain and produce preferred/standardized format for compliance reporting both externally, in client reporting, and for internal use;
  • Support team members in the design, evaluation, testing, and implementation of the next generation of trade-order management/compliance functionality;
Requirements:
  • Degree educated;
  • Driven to build a career in investment management;
  • Genuine interest in investment compliance;
  • Analytical;
  • Strong communication skills;
  • Team player;